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 2019-21 SELECTED AWARDS OF INTEREST

1. Atkins v. Pershing LLC FINRA ID #18-00651 (Jackson, MS, 2019-05-07) – In this Consolidated Award, group of customers is awarded over $1 million in damages relating to their allegations that Respondent broker-dealer aided and abetted Mr. S, a broker who allegedly ran a Ponzi scheme, by acting as custodian and a clearing firm for Mr. S, and wiring hundreds of millions of dollars to Mr. S wholly owned off-shore bank in Antigua and to other controlled accounts in the US, Canada and Great Britain.

2. Barlow v. Morgan Keegan FINRA ID #17-01630 (Jackson, MS, 2019-05-03) – Two broker-dealers and a broker are held jointly and severally liable to a group of customers for almost $1.8 million in damages, (inclusive of punitive damages) relating to their investment in CanWest Petroleum Company and Ridgeway Petroleum Inc. Respondents lose their Counterclaim seeking injunctive relief against Claimants for the alleged misuse of trade secrets in this matter which had been produced in another matter under a confidentiality order.

3. Charles Schwab v. Sanduski FINRA ID #18-01513 (Las Vegas, NV, 2019-05-09) – A Panel holds Respondent customer liable to Claimant broker-dealer for damages relating to an unsecured debit balance in his Schwab One Brokerage Account. Two of the Arbitrators provide post-award discussion and the Arbitrator Chair dissents with respect to the amount of compensatory damages awarded to Claimant.

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