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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 UA 2020-06 SELECTED AWARDS OF INTEREST

1. Moreno v. Merrill Lynch FINRA ID #19-01319 (Los Angeles, CA, 2020-02-05) – A Panel granted Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 13504(a)(6)(C) (res judicata) of the Code. The broker previously brought his claim against Respondent broker-dealer in FINRA Case No. 17-02598.

2. Aliminati v. Goy FINRA ID #18-03983 (San Francisco, CA, 2020-02-05) – An All-Public Panel explains in great detail why it has denied a customer's claim against Respondent broker-dealer and broker finding that said customer failed to satisfy his burden of proof that a fiduciary relationship existed between him and Respondents.

3. Bauer v. Blackwell FINRA ID #18-01022 (Memphis, TN, 2020-02-06) – A Panel denies Claimant broker's claims against Respondent broker finding that said broker failed to establish entitlement to relief. The Panel also denied Respondent broker's Counterclaim as he did not proffer any evidence during his presentation as to said Counterclaim.

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