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.


1. Calderon v. Cruz FINRA ID #17-01741 (Los Angeles, CA, 2018-11-15) – In this Explained Award, the Panel describes in detail their decision to grant Respondents Pre-Hearing Motions to Dismiss pursuant to FINRA Rules 12504(a)(7) and 12209.

2. Fuchs v. GF Investment FINRA ID #18-01756 (Boca Raton, FL, 2018-11-13) – The Panel grants one Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12504(a)(6)(B) and enjoined the customers from pursuing their claims in arbitration against the remaining Respondents.

3. Martin v. National Securities FINRA ID #15-03213 (New Orleans, LA, 2018-11-15) – The Arbitrator granted Respondent Carrara's Motion for Directed Verdict and imposed sanctions against Claimants customers for their conduct throughout the arbitration process and for their failure to appear at the hearing. Customers settled their claims with all other named Respondents.

4. Commonwealth Financial v. Invest Financial FINRA ID #18-01194 (Buffalo, NY, 2018-11-15) – The Panel grants Respondent Invest Financial's Pre-Hearing Motion to Dismiss pursuant to Rule 13504(a)(6)(B). Other named Respondent broker-dealer removed as a party to the action for lack of jurisdiction.

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