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 2017-07 SELECTED AWARDS OF INTEREST

1.Branley v. Mercer Capital, FINRA ID #12-03218 (New York, NY, 2/8/17) – The claims of 32 customers against eight industry parties are eliminated by a series of dismissals for different reasons – discovery violations, violation of the six-year eligibility rule and, finally, because the surviving claimants failed to prove a prima facie case.

2. Oldani v. Anderson, FINRA ID #15-01675 (On Papers, 2/10/17) – In this explained Small Claims Award, a sole Arbitrator denies a customer’s unsuitability, misrepresentation and related causes of action and, over the claimant’s objection, expunges those claims from a respondent broker’s record.

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