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 2021-30 SELECTED AWARDS OF INTEREST

1. Szamosszegi v. TD Ameritrade FINRA ID #20-03493 (Los Angeles, CA, 2021-08-19) – A Majority-Public Panel grants Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to Rule 12212(c) of the Code for the customer's failure to comply with the Chairperson's Order relating to discovery and the production of documents and information. The Panel also found that said customer failed to prosecute his claims.

2. The JW Alati Group v. Morgan Stanley FINRA ID #19-00017 (Detroit, MI, 2021-08-18) – A group of brokers alleging that Respondent broker-dealer paid a former financial advisor retirement compensation by deducting from the gross revenues of The JW Alati Group despite said financial advisor being ineligible for compensation under the Joint Production Memorandum Agreement lose their claim for damages.

3. Arellano v. LPL Financial FINRA ID #20-03361 (Syracuse, NY, 2021-08-13) – An Arbitrator explains why he has decided to deny a broker's request for reformation of defamatory information from appearing on his Form U5 record finding that said broker failed to establish that the challenged disclosures were defamatory in nature, misleading, inaccurate and/or erroneous.

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