Robb v. Lynn, TR, 4:17-cv-01156

Brian J. Robb was a respondent in FINRA-DR arbitration No. 10-02870 initiated by Barbara A. Lynn (and the Barbara A. Lynn Trust) against Stifel Nicolaus & Company and Robb.
Robb sought expungement of CRD records relating to the charges in that arbitration.
On August 12, 2011, the FINRA-DR panel issued an award recommending expungement of any CRD records related to the charges against Robb.
The parties had a submission agreement permitting entry of judgment on the arbitration award in any court of competent jurisdiction.
On June 2, 2017 Robb filed an application in federal court to confirm the FINRA-DR award; FINRA-DR waived its Rule 2080 requirement to be named as a party for expungement.
The district court applied the FAA’s narrow review standard and confirmed the arbitration award, issuing the opinion nunc pro tunc to September 6, 2017; a separate judgment entry was to follow.

Issue	Plaintiff's Argument	Defendant's Argument	Held
Whether the FINRA-DR award recommending expungement should be confirmed under the FAA	Robb requested confirmation of the arbitration award and entry of judgment enforcing the expungement recommendation	Lynn opposed confirmation (no specific opposing legal basis is recorded in the opinion)	Court confirmed the FINRA-DR award under the FAA’s presumptive rule of confirmation
Whether the court should review the merits of the arbitrator’s decision	Robb relied on the submission agreement and FINRA award as binding	Lynn implicitly challenged confirmation but did not establish FAA vacatur grounds	Court applied the narrow judicial-review standard and declined to reexamine the arbitrator’s factual or legal determinations
Whether any statutory or procedural prerequisites (e.g., FINRA Rule 2080) prevented confirmation	Robb noted FINRA waived naming requirement for expungement	Lynn did not show waiver was insufficient to preclude confirmation	Court accepted FINRA’s waiver and proceeded to confirm the award
Whether vacatur under 9 U.S.C. § 10 was warranted	Robb argued award should be entered	Lynn did not demonstrate corruption, partiality, misconduct, or excess of arbitrator power	Court found no § 10 grounds and therefore denied vacatur, confirming the award

Lattimer-Stevens Co. v. United Steelworkers of America, 913 F.2d 1166 (6th Cir. 1990) (arbitral review is very narrow)
Dawahare v. Spencer, 210 F.3d 666 (6th Cir. 2000) (FAA presumes confirmation of arbitration awards)
United Paperworkers Int’l Union v. Misco, Inc., 484 U.S. 29 (1987) (courts should not substitute their judgment for an arbitrator’s where the arbitrator arguably construed or applied the contract)