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 2020-15 SELECTED AWARDS OF INTEREST

1. Wilson v. Merrill Lynch FINRA ID #19-03362 (Denver, CO, 2020-04-30) – An Arbitrator explains why he has granted Respondent broker-dealer's Pre-Hearing Motion to Dismiss Claimant's request for reformation of his Form U5 record pursuant to Rule 13206(a) of the Code (Six-year Eligibility Rule for Industry Disputes).

2. Groh v. LPL Financial FINRA ID #19-02662 (Orlando, FL, 2020-04-30) – An Arbitrator explains in detail why he has granted Claimant broker's request for reformation of his Form U5 record finding that the Termination Explanation is not complete and accurate and is thus misleading and defamatory in nature.

3. Martinez v. Santander Securities FINRA ID #19-01565 (San Juan, PR, 2020-04-27) – An All-Public Panel denies a group of customers claims by granting Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule). The customers claims involved their investment in Puerto Rico Sales Tax Financing Corporation bonds.

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