ARBchek - Arbitrator Research Base

1. Choi v. Ameriprise Financial FINRA ID #23-02829 (Los Angeles, CA, 2024-08-06) – An Arbitrator explains why he has decided to deny a broker's request for expungement of four customer complaints from his CRD record after finding that the claim of unsuitability relating to said complaints is not factually impossible and that the allegation, claim, or information is valuable to the investing public and federal and state regulators.

2. Beg v. CrowdStreet Incorporated FINRA ID #24-00092 (Houston, TX, 2024-07-29) – An All-Public Panel grants Respondent broker-dealers' Pre-Hearing Motion to Dismiss on the grounds that Claimants have not met the threshold jurisdictional requirements of Rule 12200 (Arbitration Under an Arbitration Agreement or the Rules of FINRA) of the Code, and thus, the Panel lacks jurisdiction over this matter.

3. Jahn v. JP Morgan FINRA ID #23-03348 (Seattle, WA, 2024-08-01) – An Arbitrator grants without prejudice Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes) with respect to Claimant registered representative's request for reformation of alleged defamatory information from her Form U5 record.