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 2020-10 SELECTED AWARDS OF INTEREST

1. Wedbush Securities v. Hoffman FINRA ID #19-02404 (Phoenix, AZ, 2020-03-19) – An Arbitrator granted Claimant broker-dealer's request for compensatory damages against Respondent broker relating to a promissory note. The Arbitrator also explains why he has denied said broker-dealer's requests for other monetary relief relating to said promissory note and a second promissory note agreement.

2. Datzker Trust v. UBS Financial FINRA ID #18-03287 (Los Angeles, CA, 2020-03-20) – A majority public panel explains why it has denied a customer trustee's claims finding that said customer trustee did not establish a duty or obligation on the part of Respondent to do more than what they did regarding the trust account and their relationship with the customer's mother.

3. Jefferies LLC v. Moneypenny FINRA ID #17-01229 (New York, NY, 2020-03-17) – A broker-dealer loses its breach of contract claim against Respondent broker, while said broker also loses his Counterclaim. One Arbitrator dissents from his fellow panelists ruling and would have awarded Claimant broker-dealer liquidated damages along with punitive damages.

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