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 UA 2020-17 SELECTED AWARDS OF INTEREST

1. Moore v. E*Trade Securities FINRA ID #19-01927 (Los Angeles, CA, 2020-05-27) – A customer loses his claims against Respondent broker-dealer pursuant to FINRA Rule 12206 (Six-year Eligibility Rule). The claim related to Respondent broker-dealer's representatives alleged failure to properly respond to a third party's request to transfer funds out of Cs account.

2. DeSimone v. Mirae Asset FINRA ID #19-00330 (New York, NY, 2020-06-05) – Respondent broker-dealer is held liable to a broker on his breach of contract claim for over $300,000 in compensatory damages inclusive of health benefit payments and the amount due under a 401K plan. One Arbitrator dissents and would have awarded said broker more money on his claim.

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