ARBchek

Arbitrator Due Diligence

The smartest and fastest way to search arbitrators.
ARBchek distills nearly 55,000 Awards into Summary charts.
Award summaries display 20+ information fields for easy analysis.
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View these summaries of just-released Awards, hot off the press, as well as some selected Awards of interest.

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UPDATE: ARBchek UA 2025-09 SELECTED AWARDS OF INTEREST

1. Baxter v. Phoenix American FINRA ID #24-01374 (Boca Raton, FL, 2025-03-17) – An Arbitrator dismisses a customer's case without prejudice as a sanction pursuant to FINRA Rule 12212(c) (Discovery) as he failed to comply with her Orders regarding proof of adequate service of his Statement of Claim upon Respondent broker-dealer.

2. Spector v. LPL Financial FINRA ID #24-01372 (New York, NY, 2025-03-24) – In this selling away case, an All-Public Panel grants Respondent broker-dealer's Pre-Hearing Motion to Dismiss pursuant to FINRA Rule 12504(a)(6)(b) (not associated with the securities, account, or conduct in dispute) after finding that Claimants were not customers of Respondent and the investment at issue was a purchase made in their IRA accounts held at another firm.

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