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 2019-15 SELECTED AWARDS OF INTEREST

1. Portugal v. Arete Wealth FINRA ID #18-02884 (Washington, DC, 2019-03-27) – An Arbitrator grants Respondents Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule) and provides a lengthy explanation behind his dismissal of the customer's claims.

2. Foster v. Hantz Financial FINRA ID #14-01700 (Detroit, MI, 2019-03-28) – A customer alleging fraud and forgery, among other things, loses his claims against Respondent broker-dealer and broker. The causes of action relate to the customer's allegations that not only were his signatures forgeries but that Respondent broker and his ex-wife looted claimant's joint accounts by transferring the money to accounts held by his ex-wife and third parties out of his reach. Respondents lose their Counterclaim.

3. Devenish v. Morgan Stanley FINRA ID #17-03474 (Columbia, SC, 2019-03-29) – A Majority-Public Panel provides a lengthy explanation as to their reasoning behind denying the two customers claims relating to their bond portfolio. Respondent brokers are awarded expungement relief of this matter from their CRD records.

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