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 2017-30 SELECTED AWARDS OF INTEREST

 

 1. Reed v. Wedbush Securities, FINRA ID #15-02314 (San Francisco, CA, 7/28/17) – A broker recovers more than he requests after convincing a Panel that his employer not only denied him his just compensation, but terminated him for complaining about unpaid wages.

 

2.  Gentiluomo v. Equity Services, FINRA ID #17-00608 (Raleigh, NC, 8/3/17) – In this unusual reformation case, the Arbitrators expunge a “defamatory” report of a U.S. Attorney’s investigation.

 

3. Deutsch v. Fidelity Brokerage, FINRA ID #12-02759 (New York, NY, 7/28/17) – A Panel gives a five-page explanation for its denial of a claim that a brokerage prevented customers from taking control of a Chinese company.

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