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 2021-24 SELECTED AWARDS OF INTEREST

1. Broom v. AXA Advisors FINRA ID #17-03201 (Birmingham, AL, 2021-07-06) – Two brokers alleging racial discrimination and seeking lost compensation lose their case against Respondent broker-dealer. One broker also loses his request for reformation of defamatory information from appearing on his Form U5 record.

2. Cagle v. Pershing LLC FINRA ID #20-00922 (Dallas, TX, 2021-07-08) – In this Consolidated Award, an All-Public Panel explains why it awarded a group of customers compensatory damages after finding that Respondent knew of the perpetrated Ponzi scheme by a Non-party broker-dealer and aided in the alleged scheme by executing wire transfers with respect to the purchase of CDs.

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