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 2017-06 SELECTED AWARDS OF INTEREST

1. Lashlee v. Source Capital, FINRA ID #16-00147 (Jacksonville, FL, 2/1/17) – A broker-dealer must pay a group of customers $1.1 million in compensatory damages, attorney fees, costs and discovery sanctions.

2. Freitag v. Ameriprise Financial, FINRA ID #16-02431 (Milwaukee, WI, 1/30/17) – A sole Arbitrator explains why an investment adviser deserves expungement of a complaint made by a late customer’s son.

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