Arbitrator Due Diligence

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New Award Brief
View these summaries of just-released Awards, hot off the press, as well as some selected Awards of interest.

UPDATE: ARBchek UA 2024-07 SELECTED AWARDS OF INTEREST

1. Foley v. First Union FINRA ID #23-02100 (Philadelphia, PA, 2024-03-04) – A Panel denies a broker's request for expungement of a customer complaint from his CRD record after finding that he failed to comply with Rules 12206 and 13206 of the Code (Six-year Eligibility Rule) and failed to meet his burden of proof that relief is warranted under the grounds set forth in 2080(b)(1)(C) or that the underlying customer complaint was false.

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