Arbitrator Due Diligence

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

UPDATE: ARBchek UA 2019-20 SELECTED AWARDS OF INTEREST

1. Bergholtz v. CoreCap Investments FINRA ID #18-01283 (Detroit, MI, 2019-05-03) – Two customers settle their claims against two Respondent broker-dealers and four brokers relating to their allegation that an Unnamed Party, while employed by Corecap and Leonard, solicited Cs to invest in P&R Capital, without disclosing that the company was created and managed by the Unnamed Party. Claimants also alleged that the Unnamed Party misappropriated the funds invested in P&R Capital and the funds that the Claimants planned to invest in a publicly traded stock.

2. Jefferies LLC v. Truong FINRA ID #18-03295 (New York, NY, 2019-05-03) – Broker-dealer wins its defamation claim against non-appearing broker and is awarded Permanent Injunctive Relief enjoining said broker from publishing defamatory statements about Claimant, among other things.

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