ARBchek - Arbitrator Research Base

1. Zhong v. UBS Financial FINRA ID #23-02905 (San Francisco, CA, 2025-02-18) – A Panel provides background information and explains why it has decided to grant a broker's request for expungement of a complaint from her CRD record despite the objection of the customer after finding that said broker met the high burden of proof for awarding such relief.

2. Cantrelle v. LPL Financial FINRA ID #23-01194 (New Orleans, LA, 2025-02-18) – A Claimant alleging that Respondent registered representative allowed improper account transfers against her directives and interfered with her authority over her parents well-being by creating a new Power of Attorney settles her case against Respondents. Respondent registered representative is granted his request for expungement of this matter from his CRD record.

3. Cook v. JPMorgan Distribution FINRA ID #24-01592 (Columbus, OH, 2025-02-28) – An Arbitrator explains why he has decided to deny a registered representative's request for reformation of his Form U5 record, finding that the information submitted by Respondent broker-dealer on his Form U5 is accurate, truthful, and complies with FINRA rules and regulations.