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 2021-21 SELECTED AWARDS OF INTEREST

1. Bernstein v. Berthel Fisher FINRA ID #20-01898 (Phoenix, AZ, 2021-06-10) – An All-Public Panel explains why it has decided to grant the remaining Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule). The customers' claims involved investments in real estate investment trusts and other alternative investments.

2. Private Capital Management v. Folz FINRA ID #20-02583 (Boca Raton, FL, 2021-06-11) – In this raiding case, a Panel granted Respondent broker's Pre-Hearing Motion to Dismiss without prejudice pursuant to FINRA Rule 13504 as FINRA was not referenced as an alternative dispute resolution option according to the Partnership Agreement issued by Private Capital Management Holdings. The Panel ruled that said claims against Respondent broker should be litigated in their entirety in the AAA forum.

3. Purshe Kaplan Sterling v. Vungarala FINRA ID #19-03153 (Detroit, MI, 2021-06-08) – Claimant broker-dealer is awarded nearly $21 million in compensatory damages on behalf of itself and as Assignee for the Saginaw Chippewa Indian Tribe of Michigan from a non-appearing registered representative relating to money paid as part of an arbitration settlement and pursuant to the terms of an Independent Contractor Agreement and Security Sales Agreement.

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