http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss Powered by ARBChek 2026 Securities Arbitration Commentator, Inc. All rights reserved. Wed, 02 Sep 2026 07:07:22 -0400 http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-26-00586 An Arbitrator explains in detail why he decided to award the Claimant compensatory damages, finding that not only should the Spotify transaction not have taken place, but he is entitled to damages relating to losses he incurred with respect to the sale of the META stock as well as recovery of any advisory fees he paid in September of 2025. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-01614 After resolving all his claims and requests for monetary relief against Respondent broker-dealer, a broker is granted his request for reformation of defamatory information from appearing on his Form U5 record. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-00424 A Panel unanimously grants, with prejudice, Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206(b) (Six-year Eligibility Rule) after finding the initial events giving rise to the claim first occurred in September 2006, well outside the applicable statute of limitations and is therefore ineligible for arbitration. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-02486 An Arbitrator explains why she 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) after finding that the Form U5 that Claimant seeks to expunge was filed in September 2017, more than seven years prior to the filing of the Statement of Claim and is ineligible for arbitration. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-01568 A Panel unanimously grants 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-25-02220 Registered Rep is granted his request for expungement of five customer complaints from appearing on his CRD record after the Panel found that said request met all three criteria under FINRA Rule 2080(A), (B) and (C). http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-26-00457 In this small claims arbitration, two Respondent broker-dealers are held liable to Claimant for damages relating to his purchase of ProShares UltraPro Short QQQ. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-26-00048 Broker is granted his request for expungement of a customer complaint from appearing on his CRD record by unanimous decision of the Panel. The customer's complaint involved the purchase of GWG Bonds. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-25-01715 Respondent Registered Rep loses his Counterclaim for wrongful termination and is held liable to Claimant broker-dealers for over $5.6 million in total damages relating to the amounts due and owing on two promissory note agreements. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-26-00614 In this small claims arbitration, a customer alleging that Respondent broker-dealer breached its fiduciary duty when it imposed trading restrictions on his account and failed to follow his instructions regarding account transfers loses his case. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-26-00841 In this small claims arbitration, a customer alleging that despite alerting him that fraud was detected in his accounts based on suspicious activity, Respondent broker-dealers' security systems failed to block or freeze his accounts, allowing the scammer to wipe out all of his funds in those accounts loses his case. http://www.arbchek.com/updatearbchek.html?utm_source=organic&utm_medium=rss#ua-26-00758 In this small claims arbitration, an Arbitrator denies a customer's case involving a system error that occurred on Respondent broker-dealer's trading platform, after determining that said customer failed to prove by a preponderance of the evidence that Respondent was responsible for the trading losses or that he is entitled to damages relating to such.