ARBchek - Arbitrator Research Base

1. Schottenstein v. JP Morgan FINRA ID #19-02053 (Boca Raton, FL, 2021-02-05) – Respondent broker-dealer and two brokers are found liable on the claims of constructive fraud, misrepresentation, and elder abuse in violation of Chapter 415, Fla. Statutes and are each held liable to Claimants for compensatory damages and costs totaling nearly $19 million. Said Claimants are also awarded rescission of their investment.

2. Franklin v. Equitable Advisors FINRA ID #20-02886 (Dallas, TX, 2021-02-02) – An All-Public Panel explains why it has decided to grant Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206(a) (Six-year Eligibility Rule).

3. Kasteler v. MML Investors FINRA ID #20-02136 (Salt Lake City, UT, 2021-02-03) – An Arbitrator awarded Claimant broker expungement of a customer complaint from appearing on his CRD record but also denied said broker's request for expungement of two more complaints due to the expiration of the statute of limitations.