Arbitrator Due Diligence

  • The smartest and fastest way to search arbitrators.
  • ARBchek distills nearly 55,000 Awards into Summary charts.
  • Award summaries display 20+ information fields for easy analysis.
  • Awards Plus feature offers relevant content beyond the Award.
Create Account View Demo Videos
New Award Brief
View these summaries of just-released Awards, hot off the press, as well as some selected Awards of interest.

UPDATE: ARBchek UA 2024-03 SELECTED AWARDS OF INTEREST

1. Ecenbarger IRA v. Farhoumand FINRA ID #23-02221 (Indianapolis, IN, 2024-01-26) – A Panel grants with prejudice Respondent broker's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12504(6)(C) (Res Judicata) after finding that the non-moving party (Claimants) already litigated the same claims in dispute making them fully and finally adjudicated, resulting in an award in which a previous Panel found said claims to be time-barred under Rule 12206 (Six-year Eligibility Rule) of the Code.

2. Warshaw v. American Portfolios FINRA ID #23-02255 (New York, NY, 2024-01-24) – A Panel denies Claimant broker's request for expungement of a customer complaint from his CRD record after finding that claim was not factually impossible or clearly erroneous under Rule 2080 section (A) as monies were distributed from the Trust account in violation of the Trust document and without clear countervailing instructions from the Trust's Trustees.

3. Nguyen v. TD Ameritrade FINRA ID #23-02425 (Dallas, TX, 2024-01-26) – In this small claims arbitration, a Pro se customer alleging that she was denied access to her investment account loses her case after the Arbitrator found that Respondent broker-dealer was authorized to take all of the actions it did regarding her self-directed account.

  • #
  • #
  • #
  • #
  • #
  • #
Previous Next