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 2022-24 SELECTED AWARDS OF INTEREST

1. Sholty v. Banc of America FINRA ID #21-01929 (Los Angeles, CA, 2022-11-02) – A Panel grants one named Respondent broker-dealer's Pre-Hearing Motion to Dismiss Claimant rep's requests for expungement on eligibility grounds (pursuant to Rule 13206) and also denies his remaining request for expungement of another customer complaint.

2. Gray v. Triad Advisors FINRA ID #22-00169 (Jacksonville, FL, 2022-10-24) – An All-Public Panel grants Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206(a) (Six-year Eligibility Rule), thus denying the customer's request for rescission of his investments.

3. Vidal v. Morgan Stanley FINRA ID #22-00086 (New York, NY, 2022-10-24) – An Arbitrator explains why he has decided to deny a broker's request for reformation of his Form U5 record finding that the "Yes" answers to the questions contained in it were accurate.

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