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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 2024-17 SELECTED AWARDS OF INTEREST

1. Torres v. Robinhood Financial FINRA ID #24-00033 (New York, NY, 2024-06-27) – In this small claims arbitration, an Arbitrator dismisses a customer's case with prejudice as a sanction for his failure to appear at the three scheduled initial pre-hearing conference calls or indicate his intention whether or not he would be pursuing his claim.

2. Stern v. Beech Hill FINRA ID #23-02710 (New York, NY, 2024-07-01) – A Panel explains why it has decided to grant Respondent broker-dealer's Pre-Hearing Motion to Dismiss regarding Claimant broker's request for expungement of a customer complaint from his CRD record finding said request to be outside the six-year eligibility period as provided for under FINRA Rule 13206.

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