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.
