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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.
VIEW THIS WEEK'S AWARDS

UPDATE: ARBchek UA 2026-03 SELECTED AWARDS OF INTEREST

1. Joseph v. Essex National FINRA ID #25-00492 (New York, NY, 2026-01-12) – A majority public Panel explains why it has decided to grant Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule) finding that the account in question was closed in February 2004, more than twenty years ago, well outside the applicable statute of limitations.

2. Dendy v. Raymond James FINRA ID #25-01437 (Dallas, TX, 2026-01-23) – A broker loses, with prejudice, his request for expungement of a customer complaint from appearing on his CRD record as the Panel's decision to award expungement was not unanimous. One Arbitrator found that one or more grounds for expungement in Rule 13805 was not established, disagreeing with his follow Panelists.

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