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 2019-47 SELECTED AWARDS OF INTEREST

1. Sperber v. Citadel Securities FINRA ID #18-03249 (Baltimore, MD, 2019-11-25) – A group of customers seeking nearly $1 million in damages lose their claims and are held liable to two named Respondent broker-dealers for a total of $10,000 as a monetary sanction for failure to produce requested discovery. Said customers were also liable to Respondents for costs.

2. Ramani v. Barclays Capital FINRA ID #18-02042 (New York, NY, 2019-11-26) – Two brokers alleging racial discrimination and seeking $12 million in compensatory damages and $18 million in punitive damages, lose their claims against Respondent broker-dealer. Respondent broker was dismissed from the case as Claimant brokers did not meet their burden of proof against said broker.

3. Oelke v. UBS Financial FINRA ID #17-02841 (Milwaukee, WI, 2019-11-29) – Two females brokers seeking compensation and alleging sexual discrimination among other things, are awarded damages from Respondent broker-dealer and two brokers.

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