http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss Powered by ARBChek 2026 Securities Arbitration Commentator, Inc. All rights reserved. Wed, 15 Apr 2026 03:59:21 -0400 http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-02347 In this small claims arbitration, a customer alleging that Respondent broker-dealer engaged in unauthorized trading and mismanaged his account regarding his investment in CFTC-regulated derivatives/futures. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-23-02063 Two customers alleging that Respondent broker-dealer was negligent when it failed to supervise Respondent registered representative and seeking $225,000 in damages settle their case. Respondent registered representative loses his request for expungement of this matter from his CRD record with prejudice. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-01336 Registered representative is awarded expungement of a customer complaint from his CRD record after the Panel found said complaint to be clearly erroneous and false under FINRA Rule 2080. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-01676 A Panel unanimously denies with prejudice a broker's request for expungement of a customer complaint from appearing on her CRD record. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-23-02561 A customer alleging that Respondent broker-dealer mishandled her account by placing her in an inappropriate investment strategy when it recommended she invest in illiquid and high-risk securities such as CPG Vintage Access Fund II, Blackstone REIT, to name a few, wins her case and is awarded compensatory damages. Non-Party broker loses, with prejudice, his request for expungement of this matter from his CRD record after the objection of said customer. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-24-02632 Registered Rep is granted his request for expungement of a customer complaint from his CRD record by unanimous decision of the Panel after raising the question of eligibility under FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes), finding that the rule does not prohibit submission of his claim. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-02490 A non-appearing broker is held liable to his former employer for the amount due and owing on a promissory note. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-24-02451 Claimant broker and Respondent member firm enter into a Settlement Agreement resolving a claims in this matter. As part of the parties' Settlement Agreement, Respondent member firm agrees to amend said broker's Form U-5 record. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-02261 A Panel explains in detail why it has decided to grant a broker's request for expungement of a customer complaint from his CRD record unanimously finding the complaint to be clearly erroneous and false under FINRA Rule 2080. The customers' complaint involved the purchase of Puerto Rican securities. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-23-00994 An Arbitrator provides factual background and detail and explains why he has decided to grant Claimant broker's request for expungement of four customer complaints from his CRD record finding the complaints to be misleading, vague, and ambiguous. The Customers' complaints involved the purchase of Puerto Rican securities. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-02460 A Panel grants a broker's request for expungement of a customer complaint from appearing on his CRD record. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-01803 Despite being a victim of fraud by a third-party scammer, a customer loses her case after the Arbitrator found that Respondent broker-dealer had nothing to do with the perpetrated fraud and could not reverse the loss of her investments as her account was self-directed.