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

UPDATE: ARBchek 2016-25 SELECTED AWARDS OF INTEREST

1. Price-Tilley v. Charles Schwab, FINRA #15-02734 (Los Angeles, CA, 7/1/16) – A Panel dismisses customers’ pro se arbitration claims without a hearing, finding that they accrued more than six years before, and possibly as much as 13 years before.

2. James v. Wall Street Financial, FINRA ID #14-01337 (Buffalo, NY, 7/8/16) – A Panel recommends expungement of a customer’s arbitration claim from a voluntarily dismissed broker, despite the presence of a clause in the Stipulation of Dismissal in which the customer consents to the expungement.

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