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 2022-14 SELECTED AWARDS OF INTEREST

1. Mazur v. Merrill Lynch FINRA ID #19-03635 (San Francisco, CA, 2022-05-26) – A Panel grants Respondent broker-dealer's Motion for Directed Verdict with prejudice pursuant to FINRA Rule 13504(b) as Claimant broker failed to prove any of his causes of action including his claim for age discrimination.

2. Tufariello v. Joseph Gunnar FINRA ID #20-00366 (New York, NY, 2022-05-25) – An All-Public Panel awards a customer over $100,000 in punitive damages pursuant to case law relating to her purchase of various stocks including VIA Motors Inc. and ZocDoc Inc. Respondent broker-dealer loses its request for expungement on behalf of a Non-Party broker.

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