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 2021-35 SELECTED AWARDS OF INTEREST

1. Vido v. SunTrust Investment Services FINRA ID #20-02359 (Tampa, FL, 2021-10-23) – In a dispute arising over the transfer of assets held in all of a decedent's accounts payable on death, two power-of-attorneys are granted their requests to be named 50/50 beneficiaries with respect to said assets and are also awarded costs incurred in this matter.

2. LaPlante v. Stifel Nicolaus FINRA ID #20-03790 (Jacksonville, FL, 2021-10-19) – An Arbitration Panel explains why it has denied a broker's request for reformation of her Form U5 record finding that no evidence was presented that reflected Respondent broker-dealer has any obligation to expunge any information previously reported on the Form U5.

3. O'Neill v. McDonald Partners FINRA ID #19-00440 (Cleveland, OH, 2021-10-12) – A customer is granted rescission in her investment in Eden Rock Montenegro LLC and is awarded compensatory damages relating to her investment in GPB Capital Holdings, an alleged Ponzi scheme. The other two Claimants settled their case against Respondents.

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