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 2019-24 SELECTED AWARDS OF INTEREST

1. Robinson v. Wells Fargo FINRA ID #18-02907 (Washington, DC, 2019-05-30) – An Arbitrator explains in detail why he has awarded Claimant broker Reformation of his Form U-5 record citing that said broker suffered a severe economic impact, as well as damages.

2. Best v. Empire Asset FINRA ID #18-03340 (Atlanta, GA, 2019-05-28) – The Panel explains why they dismissed customer's claims as a sanction for his failure to comply with their Order relating to the granting of Respondents Motion to Strike Statement of Claim pursuant to FINRA Rules 12503(a) and 12208(a).

3. Feldman v. optionsXpress Incorporated FINRA ID #17-01393 (Baltimore, MD, 2019-05-29) – An All-Public Panel finds Respondent broker-dealer liable for $1,558,000 in compensatory damages as reimbursement of attorney fees for Cs defense of the SEC litigation. The customer's cause of action relates to his involvement in litigation with the SEC over the failure to deliver securities traded in Cs account with Respondent.

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