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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.
VIEW THIS WEEK'S AWARDS

UPDATE: ARBchek UA UA 2020-27 SELECTED AWARDS OF INTEREST

1. Nevares Bengoechea v. Santander Securities FINRA ID #19-02305 (San Juan, PR, 2020-10-29) – An All-Public Panel granted Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206(a) of the Code (Six-year Eligibility Rule). The customer's claims involved the purchase of Puerto Rico closed-end bond funds.

2. Pitaud v. Mercer Global FINRA ID #20-00017 (Richmond, VA, 2020-10-29) – An All-Public Panel granted Respondent broker-dealer's Motion for Directed Verdict pursuant to FINRA Rule 12504 (not involved with the security, product, or account in dispute) after finding that said Respondent broker-dealer did not have a fiduciary relationship with the customer.

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