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.

UPDATE: ARBchek UA 2018-08 SELECTED AWARDS OF INTEREST

1. Howes v. NYLife Securities FINRA ID #16-01561 (Washington, DC, 2018-01-29) – A claimant broker, angry at the disclosure of confidential information to the Panel, reneges on a settlement of this case, but the Arbitrators enforce the settlement anyway in this Explained Award.

2. Evans v. Motif Investing FINRA ID #17-02893 (PP, PP, 2018-02-02) – A sole Arbitrator explains why he cannot sustain a customer's complaint that a broker-dealer sold stock in the customer's account without authorization.

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