Case Study on "Engineering Arbitration Case Kevin"

Case Study 1 pages (406 words) Sources: 3

[EXCERPT] . . . .

3. The claimant's Request for Sanctions was granted. Birkelbach was precluded from presenting evidence (due to his absence) and the panel formed negative inferences against Respondent Birkelbach. Respondent's affirmative defenses were also dismissed.

Given Birkelbach's absence, the panel determined that Birkelbach Investment Securities, Inc., had been properly served with the Statement of Claim, filed a Statement of Answer, and received due notice of the hearing, and that the arbitration of the matter would proceed without the Respondent present in accordance with the Code of Arbitration Procedure.

The Decision

The respondent did not file with FINRA Dispute Resolution an executed Submission Agreement (since he did not appear). Nonetheless, he is required to submit to arbitration consequent to the Code of Arbitration Procedure, and is then bound by all the decisions of the Arbitrating court.

Decisions of Awards

Respondent, Birkelbach Investment Securities, Inc., is liable for and shall pay to Claimant, Kevin F. O'Neill, and the sum of $143,951.00 in compensatory damages;

Aside from that Birkelbach had to pay a number of other compensation to claimant including fees for attorney, punitive damages, and reimbursement of the non-refundable portion of the filing fees.

Dates of awards were set and fees were totaled.

Source

FINRA…

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