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 2019-11 SELECTED AWARDS OF INTEREST

1. Mackevich v. Mesirow Financial FINRA ID #18-00787 (Chicago, IL, 2019-02-28) – Claimant broker loses his request for expungement of a customer complaint from his CRD record after Respondent broker-dealer's argument that said broker signed an Acceptance, Waiver & Consent with FINRA's Department of Enforcement in which he admitted to signing a customer's signature to a letter of authorization and admitted that he lied to Respondent.

2. Juneau v. Capital One FINRA ID #18-02991 (PP, PP, 2019-02-27) – In this Explained Award, Respondent broker-dealer is held solely liable to an elderly couple for disgorgement fees after failing to do its due diligence under FINRA Rule 2111 regarding said Claimants' ability to absorb an immediate tax liability with respect to the recommendation to surrender their variable annuities and use the revenue to purchase ETF investments.

3. Halapir v. Fidelity Brokerage FINRA ID #18-00831 (Nashville, TN, 2019-02-25) – In this explained Award, an Arbitrator details why he denied the customer's claims finding that his account with Respondent broker-dealer was a self-directed account and the customer alone was responsible for the investment strategies he picked. As a result, the customer's claim of breach of fiduciary duty fails.

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