Need Help? Contact Us

Subscribe to our RSS    

Arbitrator Due Diligence

  • The smartest and fastest way to search arbitrators.
  • ARBchek distills nearly 55,000 Awards into Summary charts.
  • Award summaries display 20+ information fields for easy analysis.
  • Awards Plus feature offers relevant content beyond the Award.
Create Account View Demo Videos
New Award Brief
View these summaries of just-released Awards, hot off the press, as well as some selected Awards of interest.
VIEW THIS WEEK'S AWARDS

UPDATE: ARBchek UA UA 2020-30 SELECTED AWARDS OF INTEREST

1. Roessel v. UBS Financial FINRA ID #20-02829 (Los Angeles, CA, 2020-12-30) – An Arbitrator explains in detail, while citing case law, why she has decided to deny the customer's claims against Respondent broker-dealer and a broker regarding investments in a Portfolio Management Program account.

2. Goggin v. Integral Derivatives FINRA ID #19-02723 (New York, NY, 2020-12-17) – Claimant broker loses his claim for monetary relief but is granted specific performance against Respondent broker-dealer and broker relating to the dissolution of Integral Derivatives LLC and its assets. Respondent broker-dealer and broker lose their Counterclaim but are awarded attorney fees and costs.

3. Redwine v. Morgan Stanley FINRA ID #19-02913 (Columbia, SC, 2020-12-16) – An All-Public Panel explains why it has decided to award the customer damages against Respondent broker-dealer relating to said customer's claim that assets in her trust account were allegedly misappropriated with respect to a private placement investment.

  • #
  • #
  • #
  • #
  • #
  • #
Previous Next
Copyright © 2021 Securities Arbitration Commentator, Inc. All rights reserved.
The following applies to FINRA Awards only: Copyright 2013 Financial Industry Regulatory Authority, Inc. All Rights Reserved.
Privacy Policy • Terms of Use