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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.
VIEW THIS WEEK'S AWARDS

UPDATE: ARBchek UA 2025-10 SELECTED AWARDS OF INTEREST

1. Haluska Fernandes v. Brasil Plural FINRA ID #24-00549 (Chicago, IL, 2025-04-04) – A broker loses his request for reformation of his Form U5 record after the Arbitrator found he did not prove said relief was appropriate and is assessed monetary sanctions (in the form of attorney fees) for his failure to produce and fully comply with discovery requests in this matter pursuant to FINRA Rules 13212 and 13511.

2. Rogers v. TD Ameritrade FINRA ID #24-01840 (Baltimore, MD, 2025-04-02) – A majority public Panel grants Respondent broker-dealers' Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule) after finding that the events giving rise to the claim happened between 2012 and 2014 and is therefore outside the applicable statute of limitations.

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