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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.
VIEW THIS WEEK'S AWARDS

UPDATE: ARBchek UA 2024-21 SELECTED AWARDS OF INTEREST

1. Rose v. Pruco Securities FINRA ID #24-00115 (Hartford, CT, 2024-09-18) – An Arbitrator explains why he has decided to grant a registered representative's request for reformation of her Form U5 record after finding the termination entry and certain notations contained in the Form U5 to be defamatory in nature and harmful to her career.

2. Grover v. Wells Fargo FINRA ID #23-03384 (Salt Lake City, UT, 2024-09-03) – An All-Public Panel explains why it has decided to grant Respondent broker-dealers' Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12504(a)(6)(B) as said broker-dealers were not associated with the securities, account, or conduct in dispute and the customer already released his claims against one named Respondent broker-dealer pursuant to a Release Agreement.

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