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 2016-40  SELECTED AWARDS OF INTEREST

1.Deitsch v. Questar Capital, FINRA ID #15-03358 (Baltimore, MD, 11/16/16) – A Panel explains its decision to dismiss a disappointed REIT investor’s claim without a hearing under the six-year eligibility rule.

2.Condado Motors v. UBS Financial, FINRA ID #14-03811 (San Juan, PR, 11/18/16) – A Panel awards a Puerto Rico bond fund investor $549,000 in compensatory damages, $62,251 in costs and rescission of the transaction, as it finds the respondents liable for negligence.

3. Heinemann v. Pacific West, FINRA ID #13-01600 (Seattle, WA, 11/16/16) – A customer claimant wins almost $1.2 million in compensatory damages and attorney fees against five brokerages and brokers, three of whom were not identified until the evidentiary hearings.

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