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. Buabeng v. Morgan Stanley FINRA ID #22-02405 (San Francisco, CA, 2024-03-20) – An All-Public Panel denies a customer's case after finding that Respondent broker-dealer's agent did not breach any fiduciary duty owed, that there is no liability against Respondent's agent, and that a failure to supervise did not occur as Respondent maintained and enforced a proper system of internal controls. Non-Party broker wins expungement of this matter from his CRD record despite the objection of the customer.

2. Yu v. Interactive Brokers FINRA ID #23-00196 (San Francisco, CA, 2024-03-26) – A customer is nearly awarded $1.5 million in damages (inclusive of $200,000 in punitive damages pursuant to case law) with respect to his unauthorized trading claim regarding the sale of his investments in SPXL and TQQQ stock.

3. Rice v. Lehman Brothers FINRA ID #23-01491 (New York, NY, 2024-03-29) – An Arbitrator explains why he has decided to deny a broker's request for expungement of three customer complaints from his CRD finding that said complaints were filed more than 30 years ago and that he failed to make his case under Rule 2080.

4. Harnish v. National Securities FINRA ID #23-01030 (Philadelphia, PA, 2024-03-28) – In this small claims arbitration, an Arbitrator denies two customers' case against Respondent broker-dealer after finding they failed to present a prima facie case or any evidence to support their allegations of misconduct in relation to the two REIT investments.

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