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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 2026-07 SELECTED AWARDS OF INTEREST

1. Rees v. Robert W Baird FINRA ID #24-02632 (Tampa, FL, 2026-03-27) – Registered Rep is granted his request for expungement of a customer complaint from his CRD record by unanimous decision of the Panel after raising the question of eligibility under FINRA Rule 13206 (Six-year Eligibility Rule for Industry Disputes), finding that the rule does not prohibit submission of his claim.

2. Haubry v. Robinhood Financial FINRA ID #25-01803 (Seattle, WA, 2026-03-27) – Despite being a victim of fraud by a third-party scammer, a customer loses her case after the Arbitrator found that Respondent broker-dealer had nothing to do with the perpetrated fraud and could not reverse the loss of her investments as her account was self-directed.

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