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 2019-27 SELECTED AWARDS OF INTEREST

1. Kuo v. Kuo FINRA ID #18-00852 (Los Angeles, CA, 2019-06-17) – Although a customer's claims against two of the named Respondents were severed from this case and remanded back to the Los Angeles Superior Court, said customer loses the rest of her claims against the remaining Respondents. Respondent broker is awarded expungement of this case from his CRD record despite Claimant's objection.

2. Aktar v. Wells Fargo FINRA ID #18-01436 (San Francisco, CA, 2019-06-20) – A Panel explains in detail why it denied Claimant broker's request for wrongfully withheld commissions and for Reformation of her Form U-5 record. One Arbitrator dissents from the majority's reasoning on the dismissal of the claim but concurs with said dismissal.

3. Barzelatto v. Spire Securities FINRA ID #16-01018 (New York, NY, 2019-06-20) – In this Consolidated Award, Respondent broker-dealer and brokers are held liable to a group of customers for $3 million in compensatory damages. One Arbitrator dissents with the awarding of damages to the customers finding that said customers did not demonstrate entitlement as to the relief requested.

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