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 2018-16 SELECTED AWARDS OF INTEREST

1. Wells Fargo v. Marks FINRA ID #17-01179 (San Francisco, CA, 2018-04-02) – A sole Arbitrator dismisses a broker's counterclaim because he failed to pay the filing fee or register for the FINRA Portal. The Arbitrator then holds the broker liable for breach of a promissory note.

2. Euro Pacific v. Oppenheimer & Company FINRA ID #15-01484 (New York, NY, 2018-04-04) – After 108 hearing sessions, a broker-dealer proves its raiding claim against a rival, winning injunctive relief, compensatory damages, attorney fees and costs, but its recovery is reduced by sanctions. Complicating matters, the claimant's former counsel asserts a lien against the recovery.

3. Carver v. Spero FINRA ID #17-01059 (Seattle, WA, 2018-04-06) – A sole Arbitrator explains his decision to grant pre-hearing dismissal of a customer's unsuitability claim under FINRA's Six-Year Eligibility Rule, even as the Arbitrator acknowledges that the eligibility period may be subject to tolling.

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