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 2018-24 SELECTED AWARDS OF INTEREST

1. Borne v. GWFS Equities FINRA ID #17-01252 (Denver, CO, 2018-06-05) – A broker loses his defamation case against his former employer after he is caught lying about his taxes.

2. Columbus-Sierra LLC v. Transamerica Financial FINRA ID #17-02443 (Orlando, FL, 2018-06-05) – Arbitrators dismiss s customer's claims relating to the purchase of a commercial tenant-in-common interest, without a hearing, as untimely under FINRA's Six-Year Eligibility Rule.

3. Dekas v. Oppenheimer & Company FINRA ID #16-03687 (Chicago, IL, 2018-06-04) – A customer alleging unauthorized and unsuitable trading and misrepresentation recovers $800,000 in compensatory damages.

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