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 2022-12 SELECTED AWARDS OF INTEREST

1. Cong v. E*Trade Securities FINRA ID #21-03098 (Los Angeles, CA, 2022-04-29) – In this small claims arbitration, an Arbitrator denies a customer's case finding that she did not sufficiently prove her case and that Respondent broker-dealer made an effort to resolve said customer's complaint by initiating an investigation into potential fraudulent activity connected to her account. However, Respondent broker-dealer was not given the documentation it needed to prove the customer's account was subject to fraud.

2. Fasanella v. Cetera Advisors FINRA ID #20-02425 (Orlando, FL, 2022-04-28) – A broker is awarded $3 million in compensatory damages on his wrongful termination and defamation claims and is granted reformation of defamatory information from his Form U5 record.

3. Bluebay Multistrat v. Precision Securities FINRA ID #20-03262 (Boca Raton, FL, 2022-04-29) – A Majority Public Panel grants one named Respondent broker-dealer's Pre-Hearing Motion to Dismiss without prejudice pursuant to Rules 12511 and 12212 as a sanction for discovery violations against the customer. The Panel also grants the other named Respondent broker-dealer's Pre-Hearing Motion to Dismiss with prejudice pursuant to Rule 12504(a)(6)(B) as said Respondent broker-dealer was not involved with security, account, or conduct at issue.

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