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 2024-06 SELECTED AWARDS OF INTEREST

1. Andrews v. Humber FINRA ID #22-01176 (Birmingham, AL, 2024-02-26) – After granting Respondents' request for monetary sanctions, an All-Public Panel (despite the dissent of one Arbitrator), denies a customer's case involving the purchase of municipal bonds. Respondent broker is granted his request for expungement of this matter from his CRD record.

2. Adams v. US Bancorp FINRA ID #23-02654 (San Francisco, CA, 2024-02-22) – In this small claims arbitration, an Arbitrator explains why he has decided to deny a customer's case against Respondents finding that said customer decided to liquidate her securities in spite of the advice she was given by the registered representative and that her account, in fact, gained money.

3. Jakiun v. Vanguard Marketing FINRA ID #23-02615 (Washington, DC, 2024-03-01) – In this small claims arbitration, a customer alleging that he was given misinformation with respect to a Coronavirus related distribution from his employer-sponsored retirement plan loses his case after the Arbitrator determined that the inaction on the part of said customer and the naming of the wrong party is fatal to this claim.

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