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 2021-07 SELECTED AWARDS OF INTEREST

1. Feliksa v. Accelerated Capital FINRA ID #17-03293 (San Francisco, CA, 2021-02-08) – In this settled award, one Arbitrator provides an explanation regarding his dissent from the majority of the Panel relating to Respondent broker's request for expungement of this matter from his CRD record.

2. Tate v. Citigroup Global FINRA ID #20-01720 (Chicago, IL, 2021-02-09) – A registered representative loses his request for expungement of one customer complaint from appearing on his CRD record after the Director of FINRA determined that said request is not eligible for arbitration as it arises from a prior adverse award and is denied pursuant to FINRA Rule 13203(a). Said registered representative is also denied expungement of another complaint as well.

3. Lopez Perez v. OFS Securities FINRA ID #16-02549 (San Juan, PR, 2021-02-12) – A customer loses his claims against two Respondent broker-dealers involving his investment in Puerto Rican securities and closed-end bond funds. However, said customer is awarded monetary sanctions for Respondent broker-dealers various discovery violations and the spoliation of evidence throughout the course of the arbitration.

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