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 2023-01 SELECTED AWARDS OF INTEREST

1. Wang v. Charles Schwab FINRA ID #21-01693 (Los Angeles, CA, 2022-12-23) – The Panel granted Respondent broker-dealer's Motion for Directed Verdict after finding that the customer did not establish or show that said Respondent broker-dealer violated any FINRA rules or laws and his claim of breach of implied covenant of good faith and failing dealing was not substantiated by the evidence presented or lack thereof.

2. Marturano v. AXA Advisors FINRA ID #22-00723 (Pittsburgh, PA, 2022-12-22) – A single Arbitrator grants one named Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes) relating to Occurrence Numbers 1272517 and 1536508 and awards the broker expungement of the two remaining Occurrence Numbers from his CRD record.

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