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 2018-23 SELECTED AWARDS OF INTEREST

1. Barbaro v. Wells Fargo FINRA ID #16-01954 (Tampa, FL, 2018-06-01) – A group of customers allege elder abuse in the purchase and sale of stock in trust accounts. Although they voluntarily withdraw their claims without settlement, the Panel, with one dissent (from a public, turned industry, Arbitrator), refuses to expunge those claims from a non-party broker's CRD records.

2. Owen v. Wells Fargo FINRA ID #17-01493 (Baltimore, MD, 2018-05-31) – In this Explained Award, a broker wins a recommendation to expunge from his CRD records two customer complaints. One involves variable annuities and the other a FINRA arbitration involving First Trust Strategic High Income Fund II, a close-end fund containing collateralized mortgage obligations.

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