ARBchek - Arbitrator Research Base

1. Turner v. Equitable Advisors FINRA ID #23-01914 (Indianapolis, IN, 2026-03-16) – A Panel explains why it has decided to grant Respondent broker-dealer's Motion for Directed Verdict (Motion to Dismiss) finding that the broker failed to present any evidence to establish his claims for damages in this matter and the Form U5 he is seeking to modify that was filed by said broker-dealer is accurate and the statements contained therein are in fact true.

2. Julien v. Interactive Brokers FINRA ID #25-00290 (Indianapolis, IN, 2026-03-20) – A customer alleging that Respondent broker-dealer put withdrawal restrictions on his account, thus preventing him from having access to his funds loses his case after an All-Public Panel grants said broker-dealer's Pre-Hearing Motion to Dismiss, with prejudice, pursuant to FINRA Rules 12504(d) and 12212(c) (Discovery Violations) as a sanction for his failure to comply with Panel's prior Orders regarding the production of discovery in this matter.

3. Gurino v. Greenfield FINRA ID #23-02550 (New York, NY, 2026-03-16) – Three customers seeking $33.3 million in damages lose their case after an All-Public Panel granted Respondents Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12504 on the grounds that Claimant failed to meet his burden of proof to establish any liability on the part of said Respondents.