ARBchek - Arbitrator Research Base

1. Harbaugh v. Morgan Stanley FINRA ID #24-00677 (Orlando, FL, 2024-08-22) – In this small claims arbitration, an Arbitrator explains why she has decided to grant Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule), without prejudice, after finding that the investment at issue in this case was purchased more than eleven years prior to the filing of the Statement of Claim.

2. Apelles v. Edward D Jones FINRA ID #22-01311 (Houston, TX, 2024-08-22) – In this age discrimination case, a broker alleging that he was denied opportunities while employed at Respondent broker-dealer due to his age is awarded compensatory damages representing back pay owed.

3. Kemp v. MONY Securities FINRA ID #23-02735 (Houston, TX, 2024-08-21) – An Arbitrator explains why he has decided to grant Respondent broker-dealers' Pre-Hearing Motions to Dismiss pursuant to FINRA Rule 13206 of the Code and dismiss Claimant registered representative's request for expungement of seven customer complaints from his CRD record and why he has decided to deny said registered representative's request for expungement of an additional complaint with prejudice sua sponte for his failure to comply with said Arbitrator's prior Orders, requests to schedule a final hearing, and file a statement of intent.