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 2018-30 SELECTED AWARDS OF INTEREST

1. Harris v. MSI Financial FINRA ID #17-03367 (Tampa, FL, 2018-08-01) – A sole Arbitrator recommends the expungement of two customer complaints from a broker's record, finding that they were based on misinformation from competing brokers who hoped to benefit from the false allegations.

2. Cantor Fitzgerald v. Weinstein FINRA ID #16-03300 (New York, NY, 2018-07-30) – A broker who defaulted on a promissory note, but contested this arbitration, is liable for $2 million in principal, plus interest and more than $100,000 in attorney fees.

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