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Record Award may alter arbitration cases

USA Today

NEW YORK – An arbitration panel’s record $10 million punitive damage award this week to a California radiologist, who says he was misled by his stockbroker, could force Wall street to rethink how it resolves investor disputes. F. Clark Gardner says he lost $209,000 because of unauthorized trades and other deceptions orchestrated by his broker […]

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Panel Awards Record Amount In Stratton Case

Wall Street Journal

An arbitration panel awarded a California doctor a record $10 million in punitive damages from four former officers of the defunct brokerage firm Stratton Oakmont. A National Association of Securities Dealers panel in Los Angeles awarded the punitive damages to California doctor F. Clark Gardner on top of 3154.583 in compensatory damages and 324,375 in […]

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Woodland Hills stock brokerage ordered to pay $1.99 million in arbitration case

Los Angeles Business Journal

Woodland Hills-based stock brokerage firm RJR Capital Group has been ordered to pay $1.99 million, and additional costs, to clients by National Association of Securities Dealers arbitrators, in a binding decision. A lawyer for the clients, Salvador Gomez and Neda Kordich, told a three-man NASD arbitration panel that RJR Capital had improperly invested the clients” […]

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