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 2023-02 SELECTED AWARDS OF INTEREST

1. Bakker v. E*Trade Securities FINRA ID #22-02013 (San Francisco, CA, 2023-01-05) – In this small claims arbitration, an Arbitrator explains in detail why he has decided to deny a customer's claims against Respondent broker-dealer finding that he did not meet his burden of proof in this case. The customer's claim sought relief for interest charged upon his Margin Account that he alleged was not informed about.

2. Young v. Webull Financial FINRA ID #22-01856 (Denver, CO, 2023-01-05) – In this small claims arbitration, an Arbitrator explains in detail why he has decided to deny the customer's case finding that said customer did not cite any contract breaches, regulatory violations or other bases for relief in his favor against Respondent broker-dealer.

3. Reed v. Arive Capital FINRA ID #22-00523 (St. Louis, MO, 2023-01-06) – An investor alleging that his account was churned and that Respondents failed to build him a well-managed diversified portfolio loses his case as a sanction for his failure to comply with the Panel's Order regarding the production of discovery. Said investor is also held liable to Respondents for $5,000 in the form of attorney fees as a monetary sanction pursuant to FINRA Rule 12212.

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