Ohio Case Involving Alleged Wrongful Conduct As a Broker
In Genaw v. Lieb Dist. No. 20593, 2005 Ohio 807, the defendant was an employee, broker, and agent of Westminister Financial, who executed at least one broker agreement on behalf of Westminister for Genaw. Genaw's claims against the employee related to his alleged wrongful conduct as his broker/agent.
In holding the arbitration clause applied to the employee, the court held that "the distinction between attempting to recover from the investment account company and the individual advisor is irrelevant." Id. at P17.
That is, any misconduct on the part of the broker arose from his duties as Westminister's agent.