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 2020-26 SELECTED AWARDS OF INTEREST

1. McDonnell v. Berthel Fisher FINRA ID #19-01305 (Chicago, IL, 2020-10-21) – An All-Public Panel granted Respondent broker-dealer's Pre-Hearing Motion to Dismiss without prejudice pursuant to FINRA Rule 12206 (Six-year Eligibility Rule). The customers' claims involved their investments in non-traded real estate investment trusts (REITs) among other things.

2. JP Morgan v. Raymond James FINRA ID #18-03204 (Indianapolis, IN, 2020-10-22) – A broker-dealer and three Respondent brokers lose their respective claims and Counterclaims against either other involving raiding of records and client information along with alleged defamation on the part of said broker-dealer. However, said parties agreed to a Stipulated Injunction.

3. Straight Trust v. UBS Financial FINRA ID #19-02180 (New York, NY, 2020-10-19) – A customer trust loses its claims against Respondent broker-dealer and two Non-Party brokers are granted expungement of this matter from their respective CRD records. One Arbitrator dissents with respect to the granting of expungement and would have awarded the customer damages.

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