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 2024-13 SELECTED AWARDS OF INTEREST

1. Durando v. PHX Financial FINRA ID #23-02740 (New York, NY, 2024-05-16) – A Panel explains why it has decided to deny a broker's request for expungement of a customer complaint from his CRD record after finding that the evidence he presented was unpersuasive in meeting the criteria for granting expungement under FINRA Rule 2080.

2. Dunayevsky v. Fidelity Brokerage FINRA ID #23-03655 (New York, NY, 2024-05-13) – In this small claims arbitration, an Arbitrator explains why he has decided to dismiss a customer's case after finding that Respondent broker-dealer's action with respect to the timeliness of handling his account transfer requests was reasonable and that the alleged loss that Claimant suffered was not due to Respondent broker-dealer's actions but an unforeseen missed opportunity by both parties involved.

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