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.

UPDATE: ARBchek UA 2018-41 SELECTED AWARDS OF INTEREST

1. UBS Financial v. Creekbaum FINRA ID #15-02079 (Birmingham, AL, 2018-10-23) – An arbitration Panel finds in favor of Respondent broker over allegations that he failed to repay the outstanding balances due and owing on six promissory notes upon his termination of employment. The Panel also denied said broker's Counterclaim for deferred compensation and defamation, among other things.

2. Biddle v. Wells Fargo FINRA ID #17-03261 (Phoenix, AZ, 2018-10-23) – An Arbitrator granted Respondent's Pre-Hearing Motion to Dismiss pursuant to the Six-year Eligibility Rule and awards non-party broker expungement. The customers' claim involved a second line of credit.

3. Oliver v. Wells Fargo FINRA ID #18-00942 (Charlotte, NC, 2018-10-23) – A broker loses his request for expungement of a FINRA arbitration case from his CRD record due to his failure to file the claim within the applicable eligibility period pursuant to Code Rule 13206 (Six-year Eligibility Rule for Industry Disputes).

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