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 2017-23 SELECTED AWARDS OF INTEREST


1. Trottier v. Morgan Stanley, FINRA ID #15-02910 (Los Angeles, CA, 6/9/17) – An arbitrator explains at length why he dissents from a finding of liability against a broker and his employer accused of assisting elder abuse.

2. Bodner v. Chase Investment, FINRA ID #16-03262 (Miami, FL, 6/9/17) – A sole Arbitrator grants a broker-dealer’s motion to dismiss two of three expungement requests by one of its former employees on the ground that the customer complaints arose more than six years earlier.

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