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


1. Morgan Stanley v. Bloom, FINRA ID #11-01629 (Orlando, FL, 7/25/16) – A broker-dealer recovers more than $2.2 million in compensatory damages, attorney fees and costs against two brokers who did not repay promissory notes, offset by $775,000 awarded to the brokers.

2. Callahan v. Forrer, CBOE ID #13M002 (Chicago, IL, 7/22/16) – A CBOE Panel resolves a compensation dispute between traders.

3. Dukoff v. Merrill Lynch, FINRA ID #15-01408 (New York, NY, 8/2/16) – A sole Arbitrator explains the grant of a pre-hearing dismissal of a customer claim under the six-year eligibility rule.

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