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 2022-20 SELECTED AWARDS OF INTEREST

1. Pickett v. TD Ameritrade FINRA ID #21-02073 (Louisville, KY, 2022-08-18) – In this small claims arbitration, the Arbitrator explains why he has decided to grant Respondent broker-dealers' Pre-Hearing Motions to Dismiss pursuant to FINRA Rules 12511(b) and 12212(c). Said Motions were granted against the customer as a sanction for his failure to comply with the Arbitrator's Order regarding the production of discovery.

2. Mason v. Robinhood Financial FINRA ID #22-00552 (Columbia, SC, 2022-08-17) – In this small claims arbitration, an Arbitrator grants Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12504(a)(6)(A) (Release of Claims) with prejudice as the customer has already accepted a one-time payment from Respondent broker-dealer releasing it from any further obligation.

3. Tastyworks Incorporated v. Thrower FINRA ID #21-00712 (Houston, TX, 2022-08-22) – A Majority Public Panel bars Respondent customer from presenting evidence in this matter as a sanction for his failure to comply with discovery requests and holds him liable to Claimant broker-dealer for damages relating to a debit balance incurred in his options account.

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