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 2021-33 SELECTED AWARDS OF INTEREST

1. Clemensen v. CliftonLarsonAllen Wealth Advisors FINRA ID #20-03020 (Orlando, FL, 2021-09-17) – An Arbitrator explains why he decided to deny a broker's request for expungement of a customer complaint from his CRD record finding that said complaint was not clearly erroneous. Also noteworthy, both the customer involved in the complaint and Respondent broker-dealer opposed the broker's request for expungement.

2. Dowe v. Prudential Financial FINRA ID #20-01798 (New York, NY, 2021-09-15) – An All-Public Panel grants Respondent broker-dealer's and broker's Pre-Hearing Motion to Dismiss with prejudice pursuant to FINRA Rule 13504(a)(6)(A) (release of claims due to prior Settlement Agreement). The Claimants' case involved the alleged misappropriation of funds and conspiracy involving their rights to equal employment under Title VII of the 1964 Civil Rights Act.

3. Zhu v. Waddell & Reed FINRA ID #20-01332 (Seattle, WA, 2021-09-17) – An All-Public Panel explains in great detail why it decided to deny a broker's case finding that she failed to prove the essential elements of each of her claims by a preponderance of the evidence despite their denial of Respondent broker-dealer's Motion for Directed Verdict.

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