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 2020-20 SELECTED AWARDS OF INTEREST

1. Coccimiglio v. UBS Financial FINRA ID #20-00919 (Boca Raton, FL, 2020-07-31) – In this small claims arbitration, a customer seeking 2,275.00 Euros (approximately $2,500 in compensatory damages) and alleging failure to provide special wiring instructions regarding the sale of an apartment in Barcelona between a Spanish bank and Respondents loses his case.

2. Gilbert v. Capital Financial FINRA ID #19-01377 (Minneapolis, MN, 2020-08-05) – Respondent broker-dealer is found liable to Claimant broker on his defamation claim and is ordered to pay said broker damages in the amount of $80,000 inclusive of $40,000 in punitive damages. The Panel also imposed monetary sanctions against Respondent broker-dealer for discovery violations.

3. Lombardo v. Joseph Gunnar FINRA ID #20-00011 (New York, NY, 2020-08-07) – An Arbitrator granted expungement of one customer complaint from Claimant broker's CRD record and also explains why he has denied said broker's request for expungement of another.

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