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 2020-02 SELECTED AWARDS OF INTEREST

1. Sepe v. Merrill Lynch FINRA ID #18-01953 (Boca Raton, FL, 2020-01-10) – A majority-public Panel explains in detail why it has granted Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule). The claim relates to customer B. Sepe's variable compensation award through his former employer, Merrill Lynch, which included his Incentive Stock Options and shares of the company stock MER (later BAC).

2. Alford v. National Planning FINRA ID #17-02420 (St. Louis, MO, 2020-01-07) – A customer and a customer trust are awarded nearly $1.6 million in compensatory damages and $1 million in punitive damages pursuant to case law. The customers' claims centered around their investment in two fraudulent promissory notes and unsuitable REITs and variable annuities.

3. Flynn v. IFS Securities FINRA ID #18-03763 (Columbia, SC, 2020-01-09) – An All-Public Panel dismisses without prejudice a customer's claims against Respondent broker-dealer pursuant to FINRA Rule 12212 for her failure to comply with the Panel's discovery order. The customer's claims involved her investments in a REIT and securities in Business Development Corp. of America.

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