ARBchek - Arbitrator Research Base

1. Smith v. OSAIC Wealth FINRA ID #25-00737 (Washington, DC, 2026-01-29) – A Panel explains why it has unanimously decided to deny a broker's request for expungement of a complaint from his CRD record after finding that the record is insufficient to show that the challenged customer complaint is clearly erroneous or false or that said broker had nothing to do with the transaction.

2. Rosemore v. Morgan Stanley FINRA ID #25-00911 (Baltimore, MD, 2026-01-28) – A broker loses her request for expungement of a customer complaint from her CRD record with prejudice as the Panel's decision to award said relief was not unanimous with the Panel Chair finding that one or more grounds for expungement under Rule 13805 of the Code was established while the other two named Arbitrators did not make such a finding.

3. Crowder v. Edward Jones FINRA ID #24-02634 (Columbus, OH, 2026-02-06) – An Arbitrator grants Respondents Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12206(a) (Six-year Eligibility Rule) after finding that more than twelve years had passed since the last transaction occurred in Claimant's account. The claim stems from the customer's allegation that various unauthorized withdrawals where taken from her retirement account to be subsequently placed into another bank account.