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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.
VIEW THIS WEEK'S AWARDS

UPDATE: ARBchek UA 2021-16 SELECTED AWARDS OF INTEREST

1. Haidukova v. Fidelity Brokerage FINRA ID #20-03388 (Los Angeles, CA, 2021-04-19) – A Majority Public Panel dismisses a customer's claims without prejudice against three Respondent broker-dealers pursuant to FINRA Rule 12212 after said customer failed to comply with their Orders and directives in this arbitration proceeding.

2. Rawiszer v. Kestra Investment FINRA ID #20-02924 (New York, NY, 2021-04-12) – An Arbitrator explains in detail his decision to grant two brokers' requests for expungement of ten customer complaints from appearing on their respective CRD records.

3. Koulouris v. Keybanc Capital FINRA ID #20-03106 (Syracuse, NY, 2021-04-16) – An Arbitrator explains why he has denied a broker's request for expungement of a customer complaint from his CRD record and granted Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes).

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