ARBchek

Arbitrator Due Diligence

The smartest and fastest way to search arbitrators.
ARBchek distills nearly 55,000 Awards into Summary charts.
Award summaries display 20+ information fields for easy analysis.
Awards Plus feature offers relevant content beyond the Award.

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View these summaries of just-released Awards, hot off the press, as well as some selected Awards of interest.

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UPDATE: ARBchek UA 2023-09 SELECTED AWARDS OF INTEREST

1. Stokes v. LPL Financial FINRA ID #22-02036 (San Diego, CA, 2023-04-11) – An Arbitrator explains in detail why he has decided to grant Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes) finding that Claimant's request for reformation of his Form U5 record was outside the applicable eligibility period as the termination entry was supplemented 11 years ago.

2. Raymond James v. Deutsche Bank FINRA ID #21-02318 (New York, NY, 2023-04-18) – Claimants are awarded over $16 million in compensatory damages and interest after the Panel found Respondent broker-dealer liable for damages due under the Maryland Secured Lending, Cargill, WTC AB Structure, Colina, Westchester Airport Financing, NYPC Loan and MPTC Loan Transactions as well as the Investor Servicing Agreements.

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