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 2019-33 SELECTED AWARDS OF INTEREST

1. Kwon v. Unionbanc Investment FINRA ID #18-00400 (Los Angeles, CA, 2019-08-12) – A customer alleging embezzlement, perjury and seeking over $113 million in damages loses his claims against a group of Respondents with prejudice as a discovery sanction pursuant to Rule 12212(c) of the Code. The Panel also explains why it unanimously granted Respondent broker Rudow's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule).

2. Lautz v. Snowden Account FINRA ID #17-01724 (San Diego, CA, 2019-08-15) – Two brokers alleging that Respondent broker-dealers induced them to join their firms by promising to pay large up-front bonuses lose their claim. Said brokers are held liable to Respondent broker-dealers on their Counterclaim for over $800,000 in damages relating to the amounts due and owing pursuant to the terms of their promissory note agreements.

3. Ustocktrade Securities v. Woods FINRA ID #19-00988 (PP, PP, 2019-08-12) – An Arbitrator denies Claimant broker-dealer's claims without prejudice after determining that Respondent customer was not properly served with the Statement Claim and did not receive notice of the proceedings. The claim relates to allegations that said customer instructed his bank to reverse the deposits made into his brokerage account, thus, causing Claimant broker-dealer to suffer a loss.

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