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 2024-16 SELECTED AWARDS OF INTEREST

1. Smith v. Wells Fargo FINRA ID #23-01752 (Los Angeles, CA, 2024-06-14) – An All-Public Panel explains why it has decided to deny a customer's case and grant Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule) after finding that six years have elapsed since the event giving rise to the claims as the customer closed all of his accounts with Respondent broker-dealer by October 4, 2016.

2. Rude v. Morgan Stanley FINRA ID #22-02183 (Boca Raton, FL, 2024-06-17) – A Panel refers to case law (Shafer v. Morgan Stanley, No. 20 CIV. 11047 (PGG), 2023 WL 8100717 at *1 (S.D.N.Y. Nov. 21, 2023)) to explain in detail why it has decided to deny Claimant brokers' requests for damages under Respondent broker-dealer's Deferred Compensation Program after the Panel found that said Program was not a pension plan or retirement plan under ERISA, but rather an incentive awarding plan to encourage employees to stay the course with Respondent broker-dealer.

3. Bass v. Citigroup Global FINRA ID #23-01501 (Nashville, TN, 2024-06-10) – A customer seeking $1 billion in damages loses his case after the Panel granted Respondent broker-dealer's Motion for Directed Verdict finding the claim to be without merit as the alleged transfer of the $1 billion from his Deutsche Bank account to Respondent never occurred.

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