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 UA 2020-16 SELECTED AWARDS OF INTEREST

1. Visher v. AXA Advisors FINRA ID #19-00895 (Los Angeles, CA, 2020-05-05) – A Panel explains in great detail why it has granted Respondent broker-dealer's Motion for Directed Verdict as a sanction against Claimant broker for discovery violations, among other things. Respondent broker-dealer is also granted injunctive relief in addition to the awarding of monetary sanctions.

2. Best v. Columbus Advisory FINRA ID #18-03337 (Atlanta, GA, 2020-05-21) – An Arbitrator explains why he has dismissed the customer's claims against Respondents with prejudice as a sanction pursuant to Code Rule 12212(c). The Arbitrator also explains why he has decided to dismiss with prejudice Respondent broker-dealer's Counterclaim.

3. Wood v. JP Morgan FINRA ID #18-01716 (Columbus, OH, 2020-05-19) – A Panel imposes monetary sanctions against Claimant broker for her failure to comply with the production of discovery and denied her request for expungement of the financial disclosures filed by Respondent because they are ineligible for expungement from the CRD system in arbitration.

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