Selected Awards of Interest in UPDATE: ARBchek — UA edition 2012-30:

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On behalf of Thomas Costello of Costello Law Group

Baker v. Janney Montgomery, FINRA ID # 11-03007 (Los Angeles, CA, 7/26/2012) – A Panel dismisses an investing couple’s $1.25 million claim without a hearing, pursuant to the six-year eligibility rule.

Pinnacle Investments v. Corcoran, FINRA ID # 10-02616 (Syracuse, NY, 7/25/2012) – In the course of reforming two brokers’ Form U5s, a Panel discusses the reasons for granting such relief to one of them.

SAC is a licensed distributor of FINRA awards. UA edition 2012-30 contains 18 awards.

About Tom Costello


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