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 2019-01 SELECTED AWARDS OF INTEREST

1. Smith v. Crystal Bay FINRA ID #18-00218 (Boca Raton, FL, 2018-12-10) – A customer alleging elder abuse, among other things, wins her claims against Respondents and is awarded rescission of her investments, along with an award of punitive damages, attorney fees and costs. The Panel also found Respondents liable to customer for monetary sanctions for their multiple failures to comply with discovery obligations.

1. Everson v. Edward Jones FINRA ID #16-00293 (Denver, CO, 2018-12-13) – An All-Public Panel finds that Claimants were not customers of Respondent broker-dealer Edward Jones and denies their claims relating to the alleged failure to distribute the assets of securities accounts pursuant to Transfer on Death Beneficiary Designations.

3. Faigenblat v. UBS Financial FINRA ID #17-01542 (San Juan, PR, 2018-12-13) – A group of customers loses their damage claim of $23,000,000 in compensatory damages involving their investments in Puerto Rico municipal bonds and closed-end funds recommended by Respondent broker-dealer. One Arbitrator dissents with respect to the denial of damages.

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