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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 2022-01 SELECTED AWARDS OF INTEREST

1. Chang v. JP Morgan FINRA ID #21-01836 (San Francisco, CA, 2021-12-23) – An Arbitrator explains why he has decided to grant Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes). Claimant broker sought reformation of her Form U5 record.

2. Gold v. Webull Financial FINRA ID #21-01960 (San Diego, CA, 2021-12-20) – Two customers alleging churning and unsuitability with respect to options trading for their account and seeking damages including damages relating to dental implants lose their case against Respondent broker-dealer.

3. Mastrovich v. UBS Securities FINRA ID #19-01247 (New York, NY, 2021-12-22) – A broker alleging wrongful termination and seeking deferred compensation relating to three bonuses is awarded nearly $6.4 million in compensatory damages against Respondent broker-dealer. Said Respondent broker-dealer loses its Counterclaim for unjust enrichment.

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