What sanctions may be imposed in a securities arbitration case?

Sanctions are a form of punishment imposed by a court or other authority in a securities arbitration case. In New Hampshire, arbitration is typically used to resolve disputes between investors and investment advisors or brokers. The sanctions that may be issued in a securities arbitration case can include monetary penalties, suspensions, and/or bans from the securities industry. Monetary penalties are often imposed in these cases to compensate the harmed party and to deter future misconduct. The amount of the penalty is determined by the securities arbitrator based on the facts and circumstances. The penalty may include the return of ill-gotten gains, fines, and/or damages. Suspensions and/or bans from the securities industry may also be imposed in a securities arbitration case. Depending on the particular facts and circumstances, an individual may be suspended or banned from working in the securities industry in any capacity. This sanction is intended to protect the public from any further misconduct by the individual, and it could last for as long as nine years. In addition, a securities arbitration court may also impose costs associated with the proceedings. This includes any attorney’s fees, court costs, and expert witness fees. Ultimately, the severity of the sanctions imposed in a securities arbitration case is determined by the arbitrator based on the particular facts and circumstances of the case. However, these sanctions are generally intended to protect the public and deter future misconduct.

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What sanctions may be imposed in a securities arbitration case?

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