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 2021-11 SELECTED AWARDS OF INTEREST

1. Sami v. Interactive Brokers FINRA ID #20-02897 (Los Angeles, CA, 2021-03-08) – In this small claims arbitration, an Arbitrator explains in detail why he has decided to deny a customer's case against Respondent broker-dealer finding said case to be without merit. The customer's case involved the use of debit and credit cards to purchase gift cards.

2. Plemons v. US Bancorp FINRA ID #20-02770 (Seattle, WA, 2021-03-09) – An Arbitrator granted Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes) regarding Claimant broker's request for expungement of a customer complaint from appearing on his CRD record.

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