Need Help? Contact Us

Subscribe to our RSS    

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.
Create Account View Demo Videos
New Award Brief
View these summaries of just-released Awards, hot off the press, as well as some selected Awards of interest.
VIEW THIS WEEK'S AWARDS

UPDATE: ARBchek UA 2023-01 SELECTED AWARDS OF INTEREST

1. Wang v. Charles Schwab FINRA ID #21-01693 (Los Angeles, CA, 2022-12-23) – The Panel granted Respondent broker-dealer's Motion for Directed Verdict after finding that the customer did not establish or show that said Respondent broker-dealer violated any FINRA rules or laws and his claim of breach of implied covenant of good faith and failing dealing was not substantiated by the evidence presented or lack thereof.

2. Marturano v. AXA Advisors FINRA ID #22-00723 (Pittsburgh, PA, 2022-12-22) – A single Arbitrator grants one named Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes) relating to Occurrence Numbers 1272517 and 1536508 and awards the broker expungement of the two remaining Occurrence Numbers from his CRD record.

  • #
  • #
  • #
  • #
  • #
  • #
Previous Next
Copyright © 2023 Securities Arbitration Commentator, Inc. All rights reserved.
The following applies to FINRA Awards only: Copyright 2013 Financial Industry Regulatory Authority, Inc. All Rights Reserved.
Privacy Policy • Terms of Use