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 2018-37 SELECTED AWARDS OF INTEREST

1. Rogers v. Morgan Stanley FINRA ID #17-01935 (San Diego, CA, 2018-09-27) – In this Explained Award, a Panel denies a customer's claim finding that Claimant failed to prove by a preponderance of the evidence any of the causes of action brought against Respondents involving the customer's investment in hedge funds.

2. Charles Schwab v. Humphreys FINRA ID #17-01956 (Charlotte, NC, 2018-09-28) – A Broker-Dealer's raiding claim is denied by the Panel and the broker is awarded attorney fees (pursuant to Claimants' confidentiality, non-solicitation and intellectual property agreements) and costs.

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