Arbitrator Due Diligence

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View these free summaries of just-released Awards, hot off the press, as well as some selected Awards of interest.
Selected Awards of Interest

UPDATE: ARBchek 2018-17 SELECTED AWARDS OF INTEREST


1. Gorguze v. C.L. King, FINRA ID #14-02898 (San Diego, CA, 5/8/17) – A registered investment adviser’s clients lose their $68.5 million claims against a custodial broker-dealer (a case to be summarized in an upcoming issue of the Securities Arbitration Alert).

2. Graf v. Janney Montgomery, FINRA ID #16-02803 (New York, NY, 5/12/17) – A sole Arbitrator grants a pre-hearing dismissal of a customer claim pursuant to the six-year eligibility rule, ruling that even if the eligibility period may be tolled, it would not help the customer.

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