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. Gershoni v. Ameriprise Financial FINRA ID #22-02275 (Hartford, CT, 2024-03-14) – Although Claimant broker is awarded damages in this case, two Arbitrators dissent with one dissenting with respect to the denial of reformation of the broker's Form U5 record and the other Arbitrator dissenting with respect to the awarding of deferred compensation.

2. Kudarauskas v. Woodbury Financial FINRA ID #23-02414 (Atlanta, GA, 2024-03-14) – A Panel grants Claimant broker's request for expungement of one customer complaint from his CRD record but denies his request for expungement of two more complaints after finding that none of the requirements under FINRA Rule 2080(b)(1)(A), (B) or (C) were proven and the requests were time-barred under Rule 13206 (Six-year Eligibility Rule for Industry Disputes).

3. Obama v. Merrill Lynch FINRA ID #23-02693 (Atlanta, GA, 2024-03-12) – In this small claims arbitration, an Arbitrator dismisses with prejudice a customer's case pursuant to FINRA Rule 12212(c) (Discovery Sanctions) for his failure to prosecute his claims and comply with the Arbitrator's Order to provide FINRA with his representative's contact information so a new pre-hearing could be scheduled in this matter.

4. Littlefield v. Hensley FINRA ID #23-02226 (Charlotte, NC, 2024-03-11) – Two customers (individually and on behalf of their IRAs) lose their case against Respondents after the Arbitrator explains why he has granted their Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule).

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