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 2021-01 SELECTED AWARDS OF INTEREST

1. Blanchard v. First Financial FINRA ID #20-01189 (Reno, NV, 2021-01-07) – A Majority Public Panel explains in detail why it has decided to grant Respondent broker-dealer's Pre-Hearing Motions to Dismiss pursuant to FINRA Rules 12200, 12201 and 12504 (not involved with the conduct, product, or account in dispute). The Panel also awarded Respondent broker-dealer attorney fees pursuant to A.R.S. § 12-349.

2. Etienne v. Barclays Capital FINRA ID #19-02188 (New York, NY, 2021-01-08) – A broker alleging racial and gender discrimination in violation of Title VII of the Civil Rights Act of 1964 and the New York State Human Rights Law, among other statutory claims, loses her case against Respondent broker-dealer.

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