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 2018-34 SELECTED AWARDS OF INTEREST

1. Haney v. Deutsche Bank FINRA ID #16-02761 (Dallas, TX, 2018-09-06) – In this defamation case, a broker-dealer must pay two brokers more than $2.9 million in compensatory damages, attorney fees and costs, and must reform their Form U-5s. One of the brokers also wins customer complaint expungement relief.

2. Seltzer v. U.S. Bancorp FINRA ID #17-01857 (Denver, CO, 2018-09-05) – A Panel explains why it dismisses customers' claims as a sanction for their "disruptive behavior" and "abuse of the arbitration process."

3. Lin v. NYLife Securities FINRA ID #17-03461 (Philadelphia, PA, 2018-09-04) – A sole Arbitrator dismisses a customer's misrepresentation claims without a hearing on the basis of the Six-Year Eligibility Rule in this Explained Award.

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