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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 2021-20 SELECTED AWARDS OF INTEREST

1. Mulvihill v. Kramer FINRA ID #20-03557 (Washington, DC, 2021-05-19) – An Arbitrator explains in details why he has decided to grant a broker's Pre-Hearing Motion to Dismiss pursuant to Rule 12206 (Six-year Eligibility Rule). The customer's claims involved an alleged unsuitable investment in FSIC II.

2. Wagner v. Brokers International FINRA ID #19-03556 (Indianapolis, IN, 2021-05-17) – A customer alleging that an unnamed party converted her funds for his own personal use by using a insurance brokerage firm as a front to have access to said funds with the alleged help of Respondent broker, is awarded nearly $800,000 in compensatory damages. One Arbitrator dissents without explanation.

3. Fremont v. Wells Fargo FINRA ID #20-03792 (Milwaukee, WI, 2021-05-20) – A majority-public Panel granted Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206 (Six-year Eligibility Rule). The customer's claims involved the purchase of shares in ImmunoCellular Therapeutics Ltd.

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