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 2017-27 SELECTED AWARDS OF INTEREST


1.  Case v. National Planning, FINRA ID #16-03341 (Detroit, MI, 6/30/17) – A sole Arbitrator explains his decision to recommend expungement of three of four customer complaints from a broker’s CRD records.


2. Cohen v. Alexander Capital, FINRA ID #13-03605 (New York, NY, 7/7/17) – A Panel bars a broker from presenting defenses to an indemnification claim against him in a customer case as a sanction for an untimely answer.  Fortunately for the broker, he pays nothing when the claimant loses.

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