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UPDATE: ARBchek

New Award Brief

View these free summaries of just-released Awards, hot off the press, as well as some selected Awards of interest.

VIEW THIS WEEK'S AWARDS

Selected Awards of Interest

UPDATE: ARBchek 2018-08 SELECTED AWARDS OF...

UPDATE: ARBchek 2018-08 SELECTED AWARDS OF INTEREST

1. Howes v. NYLife Securities, FINRA ID #16-01561 (Washington, DC, 1/29/18) – A claimant broker, angry at the disclosure of confidential information to the Panel, reneges on a settlement of this case, but the Arbitrators enforce the settlement anyway in this Explained Award.

2. Evans v. Motif Investing, FINRA ID #17-02893 (On the Papers, 2/2/18) – A sole Arbitrator explains why he cannot sustain a customer’s complaint that a broker-dealer sold stock in the customer’s account without authorization.

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