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 2022-23 SELECTED AWARDS OF INTEREST

1. Romano v. Centaurus Financial FINRA ID #21-01782 (San Diego, CA, 2022-10-19) – A group of customers alleging elder abuse and unsuitability with respect to investments in various real estate investment trusts and mutual funds including the Apollo Institutional Income Fund are awarded monetary relief including punitive damages pursuant to California Code, Civil Code - CIV §3294 against a named Respondent broker's estate.

2. Becker v. Edward Jones FINRA ID #22-01321 (Denver, CO, 2022-10-21) – An Arbitrator explains why he has decided to grant without prejudice Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes) ultimately denying Claimant's request for reformation of alleged defamatory information from appearing on his CRD record.

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