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 2016-17 SELECTED AWARDS OF INTEREST

1.  Global Medical v. Wells Fargo, FINRA ID #14-02749 (New York, NY, 5/6/16) – A Panel dismisses a customer’s claims on directed verdict and expunges them from a non-party broker’s record, finding that the “claims were unproven or false."

2.  Schirtzinger v. Putnam Retail, FINRA ID #15-02272 (Columbus, OH, 5/3/16) – Arbitrators dismiss without a hearing a case arising from a third party’s misappropriation of funds from a bank account, finding that the claimant failed to prove that either he, the respondent or the dispute qualifies for FINRA arbitration.

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