Award

22-02613 Alexis Stuart v. E*Trade Securities LLC

FINRA Dispute Resolution Services · Securities (FINRA) · United States · March 26, 2020

Why it matters

Alexis Stuart v. E*Trade Securities LLC, decided in FINRA arbitration. In this case a customer or associated person brought a claim against E*Trade Securities LLC. For a student, it shows how FINRA arbitration works: the binding, largely private forum where the great majority of US securities disputes are resolved instead of the courts, with awards enforceable in court and open to challenge only on narrow grounds.

Summary

Alexis Stuart v. E*Trade Securities LLC: a FINRA arbitration award (case 22-02613), 05/15/2026. The panel's decision is set out in the award.

The detail

Parties: Alexis Stuart v. E*Trade Securities LLC

Case number: FINRA Case No. 22-02613

Outcome: Award for the claimant.

Applicable law: FINRA Code of Arbitration Procedure; United States securities law; the parties' brokerage agreement.

Issues in play: An investor's or an industry member's claim, decided in FINRA's arbitration forum rather than the courts.

Read the full decision at FINRA Arbitration Awards Online

Locus Standi links to the source decision and publishes its own plain-language summary. It does not reproduce the text of the award.

Back to the awards board