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 2024-04 SELECTED AWARDS OF INTEREST

1. Bhartiya v. TD Ameritrade FINRA ID #23-00573 (Tampa, FL, 2024-01-31) – An investor alleging unauthorized trading and seeking $20 million in compensatory damages loses his case after an All-Public Panel finds that he failed to meet his burden of proof or to provide proof that he is entitled to economic damages.

2. Reeves v. Fidelity Brokerage FINRA ID #22-02116 (Atlanta, GA, 2024-02-02) – An Arbitrator explains why he has denied a customer's case against Respondent after finding that there was no proof established that said broker-dealer's computerized ordering system malfunctioned by creating and executing an order for 600 shares of DWAC stock that was not authorized by Cs.

3. Seferian v. Continental Broker-Dealer FINRA ID #23-00665 (New York, NY, 2024-02-02) – A Panel explains why it has decided to deny Claimant broker's request for expungement of two customer complaints from his CRD record finding that more than six years have elapsed from the occurrence giving rise to the claim (FINRA Rule 13206).

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