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 2019-40 SELECTED AWARDS OF INTEREST

1. Burga v. Multiple Financial FINRA ID #19-00306 (Los Angeles, CA, 2019-10-10) – A Panel unanimously dismisses Claimant broker's request for Reformation of his Form U-5 record without prejudice due to his failure to pursue his claim.

2. Jain v. Wells Fargo FINRA ID #18-01147 (Richmond, VA, 2019-10-10) – A group of customers lose their claim and are ordered by the Panel to pay Respondent broker-dealer $25,000 in discovery sanctions pursuant to Rules 12511 and 12212(a). The customers' claims involved their investment in the Agility Income Fund and Glenview Partners Fund.

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