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 2022-17 SELECTED AWARDS OF INTEREST

1. Bardavon Health Innovations v. Spurrier Capital FINRA ID #21-02307 (Kansas City, MO, 2022-07-12) – A customer alleging that it was charged fees for services not rendered by Respondent broker-dealer loses its case and is held liable to Respondent broker-dealer for $1.6 million in damages on its breach of contract Counterclaim relating to an engagement letter.

2. Medina v. Chase Investment FINRA ID #21-02874 (New York, NY, 2022-07-15) – An Arbitrator explains in great detail why he has granted Respondent broker-dealer's Pre-Hearing Motion to Dismiss without prejudice Claimant broker's request for reformation of his Form U5 record pursuant to FINRA Rule 13206 (Six-year Eligibility Rule) after finding that said request was not subject to tolling.

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