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 2021-15 SELECTED AWARDS OF INTEREST

1. Nakamura v. Wells Fargo FINRA ID #20-03691 (San Diego, CA, 2021-04-09) – An Arbitrator granted Respondent broker-dealer's Pre-Hearing Motion to Dismiss Claimant broker's request for reformation of his Form U5 pursuant to FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes).

2. Ecenbarger v. H Beck FINRA ID #20-03743 (Indianapolis, IN, 2021-04-05) – An All-Public Panel granted Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule). The customers claims involved the alleged unsuitable purchase of alternative investments and mutual funds.

3. Reis v. LPL Financial FINRA ID #19-02867 (Augusta, ME, 2021-04-05) – A broker alleging discrimination in violation of the Maine Human Rights Act loses his claim against Respondent broker-dealer after the Panel found that said broker failed to produce sufficient evidence to make a prima facie case.

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