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.


1. Davis v. JRL Capital FINRA ID #22-01426 (Los Angeles, CA, 2024-05-24) – After dismissing the claims of two of the customers as a sanction for discovery violations, a Panel holds one named Respondent broker liable to the remaining customers for over $1 million in damages. Another named Respondent broker is granted his request for expungement of this matter from his CRD record.

2. Broussard v. Morgan Stanley FINRA ID #23-00074 (Washington, DC, 2024-05-24) – A broker loses her request for reformation of alleged defamatory information from her Form U5 record after the Arbitrator found there was a violation of the Morgan Stanley Code of Ethics and Business Conduct.

3. Hayes v. Aegis Capital FINRA ID #22-02854 (Cleveland, OH, 2024-05-24) – A Panel dismisses with prejudice a group of customers' claims against Respondent broker-dealer and imposes monetary sanctions in the form of attorney fees pursuant to FINRA Rules 12212(c) and 12511 for their intentional disregard and failure to comply with the Panel's Orders regarding the production of discovery in this matter.

4. Oeming v. Commonwealth Financial FINRA ID #24-00453 (Portland, OR, 2024-05-22) – An Arbitrator explains why he has decided to deny a broker's request for reformation/expungement of his Form U5 record finding that the reported facts surrounding his termination from Respondent broker-dealer are true and accurate and modifying his Form U5 to reflect a voluntarily termination status would be inaccurate and misleading to the public.

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