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 2024-15 SELECTED AWARDS OF INTEREST

1. Hall v. UBS Financial FINRA ID #23-01902 (Columbia, SC, 2024-05-31) – A Panel explains and provides case law as to why it has decided to deny a broker's request for damages after finding that his claims against Respondents fail as he was unable to prove that any published statements were false or that Respondent broker-dealer was negligent as he was an at-will employee and under matter of law an employer owes no duty of care in conducting an internal investigation relating to allegations asserted against at-will employees.

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