ARBchek - Arbitrator Research Base

1. De Ocampo v. Robinhood Financial FINRA ID #25-01287 (San Francisco, CA, 2026-05-05) – An Arbitrator explains why he has decided to deny this matter, finding that the customer did not suffer any losses as Respondent broker-dealer complied with and did not violate the agreement between the parties when said broker-dealer sold his shares of SPCE in order to meet margin requirements. In fact, the customer not only made a profit after Respondent sold the shares, but the funds were also credited to his account.

2. Marder v. Charles Schwab FINRA ID #25-02369 (Boca Raton, FL, 2026-04-27) – A customer alleging that he suffered financial losses as a result of a wire transfer scam that occurred with respect to his securities account after Respondent broker-dealer allegedly failed to follow its own security procedures to prevent such actions is awarded compensatory damages.

3. Leslie v. Merrill Lynch FINRA ID #25-01426 (Philadelphia, PA, 2026-05-07) – An Arbitrator explains why he has decided to grant Respondent broker-dealer's Pre-Hearing Motion to Dismiss Claimant's request for reformation of alleged defamatory information from his Form U5 record based upon the applicable statute of limitations - Rule 13206 of the Code (Six-year Eligibility Rule for Industry Disputes) as said U5 was filed in 2015.