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 2019-43 SELECTED AWARDS OF INTEREST

1. Wells Fargo v. Nowakowski FINRA ID #18-02164 (Hartford, CT, 2019-11-01) – An Arbitrator explains why he has denied Claimant broker-dealer's request for the amounts due and owing on two promissory notes from Respondent broker.

2. Rener v. UBS Financial FINRA ID #19-00289 (Detroit, MI, 2019-10-28) – Claimant broker is granted reformation of defamatory information from his Form U-5 record but is denied expungement of two customer complaints from his CRD record.

3. Dos Santos v. Citibank NA FINRA ID #16-02593 (New York, NY, 2019-10-29) – Claimant broker is awarded $4.1 million in damages on his compensation claim and is granted reformation of his Form U-5 record. Respondent broker-dealer loses its Counterclaim for breach of duty of loyalty.

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