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 2024-22 SELECTED AWARDS OF INTEREST

1. Laymac v. Moody Capital FINRA ID #24-00167 (Atlanta, GA, 2024-10-02) – A Majority-Public Panel grants Respondent broker-dealer's and two registered representatives' Pre-Hearing Motion to Dismiss without prejudice pursuant to FINRA Rule 12504 (not involved with the security, account, or conduct in dispute) as the Claimant never received any broker-dealer or advisor services from any of the Respondents at any time relevant to this matter.

2. Katz v. Western International FINRA ID #22-02819 (Indianapolis, IN, 2024-09-27) – Two customers (Joint Tenants with Rights of Survivorship) alleging that their investment in the GWG-L Bond was unsuitable for them given their financial goals and lack of investment experience settle their case against Respondents. Respondent broker loses her request for expungement of this matter from her CRD record after her failure to comply with the Arbitrator's Order to file documentation and information in support of her request.

3. Koehler v. Fidelity Brokerage FINRA ID #23-03068 (Minneapolis, MN, 2024-10-08) – An All-Public Panel grants Respondent broker-dealer's Motion for Directed Verdict as the customer failed to meet her burden of proof with respect to allegations that money was missing from her late husband's retirement accounts.

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