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 UA 2020-23 SELECTED AWARDS OF INTEREST

1. Hill v. Perry FINRA ID #20-00590 (Indianapolis, IN, 2020-09-04) – An All-Public Panel explains why it has decided to grant Respondent broker-dealer's and broker's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12504 (not associated the security, account, or conduct at issue).

2. Matthews v. Taylor Capital FINRA ID #19-00350 (Charlotte, NC, 2020-09-11) – Respondent broker-dealer is held liable to a customer for nearly $260,000 in damages (inclusive of $180,000 in punitive damages pursuant to North Carolina General Statutes Chapter 1D-15 (1) and (3)). The customer was awarded a default judgment against the non-appearing broker and his claims against said broker were severed from this case.

3. Schneider v. Charles Schwab FINRA ID #20-00322 (Omaha, NE, 2020-08-31) – An Arbitrator grants Respondent broker-dealer's Pre-Hearing Motion to Dismiss Claimant's request for reformation of his Form U5 record pursuant to FINRA Rule 13504 (Release of Claims, res judicata).

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