ARBchek - Arbitrator Research Base

1. Palmer v. Vanguard Marketing FINRA ID #26-00980 (Los Angeles, CA, 2026-09-22) – In this small claims arbitration, a customer alleging that despite his numerous requests for assistance over the years, Respondent broker-dealer has failed to give him access to funds that were improperly withheld from his brokerage account loses his case.

2. Siracusano v. Wells Fargo FINRA ID #26-00284 (Chicago, IL, 2026-09-24) – A broker loses his request for expungement of a customer complaint from his CRD record with prejudice as the Panel's decision to award said relief was not unanimous. One Arbitrator found that one or more of the grounds for expungement under Rule 13805 was established, whereas his fellow two Panelists did not make such a finding. Also, the customer involved in the complaint objected to said relief being granted.