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 2022-02 SELECTED AWARDS OF INTEREST

1. Hays v. Parkland Securities FINRA ID #21-00377 (Indianapolis, IN, 2022-01-07) – An Arbitrator explains why he has decided to grant Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 13206(a) (Six-year Eligibility Rule for Industry Disputes).

2. Hadel v. Ameriprise Financial FINRA ID #19-01813 (Detroit, MI, 2021-12-31) – In this selling away case, three customers alleging that Respondent broker-dealer failed to supervise a Non-Party registered representative who solicited loans from them lose their case and are ordered to pay said broker-dealer monetary sanctions for discovery violations.

3. Fibonacci Capital v. Sanctuary Securities FINRA ID #21-00369 (New York, NY, 2021-12-28) – In deciding to award the customer damages, a Majority Public Panel found that the awarding of compensatory damages was due to the excessive markup on the purchase of Ginnie Mae mortgage-backed securities for said customer's account.

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