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.

UPDATE: ARBchek UA 2021-29 SELECTED AWARDS OF INTEREST

1. Rosenberg v. Hightower Securities FINRA ID #19-03721 (New York, NY, 2021-08-13) – Although a customer loses his requests for monetary relief, the Panel awards said customer rescission of the contract he entered into with Respondent broker-dealer to purchase the limited partnership investments at issue in this case.

2. Charles Schwab v. Behymer FINRA ID #19-01296 (Memphis, TN, 2021-08-12) – In this intra-industry case, a Claimant broker-dealer alleging raiding and seeking injunctive relief and a broker alleging intentional infliction of emotional distress and seeking reformation of his Form U5 record both lose their respective claims against one another. Said Claimant broker-dealer was also ordered to pay Respondent broker monetary sanctions relating to the failure to produce discovery.

3. Wells Fargo v. Rule FINRA ID #18-03543 (Dallas, TX, 2021-08-13) – A registered representative sex discrimination with regards to the terms and conditions of her employment is held liable to Claimant broker-dealer for the amounts due and owing on a promissory note agreement. Said registered representative loses her Counterclaim for damages.

  • #
  • #
  • #
  • #
  • #
  • #
Previous Next