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 2022-11 SELECTED AWARDS OF INTEREST

1. Novak v. Charles Schwab FINRA ID #19-01455 (Syracuse, NY, 2022-04-06) – A majority public Panel explains why it has decided to deny a customer's claims finding that he failed to prove by a preponderance of the evidence that he was negligently referred to the Non-Member parties in this case by Respondent Charles Schwab.

2. Rimini v. JP Morgan FINRA ID #21-01831 (New York, NY, 2022-04-13) – In this employment discrimination case, an All-Public Panel grants with prejudice Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rules 13206 (Six-year Eligibility Rule for Industry Disputes) and 13504 (Res Judicata).

3. Klein v. Morgan Stanley FINRA ID #21-00507 (Houston, TX, 2022-04-14) – A customer, an estate, and an limited partnership alleging unsuitable and risky investments in securities called Elks and Pacers lose their case against two Respondent broker-dealers and broker pursuant to FINRA Rules 12504(a)(6)(B) and 12206(a) (Six-year Eligibility Rule). Respondent broker is granted his request for expungement of this matter from his CRD record.

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