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Follow on Google News | Imbesi Christensen Attorney Profiled After FINRA Arbitration VictoryForbes.com profiles FINRA arbitration decision granting expungement on behalf of broker
By: Imbesi Christensen Forbes.com contributor, Bill Singer, profiled the decision. To view the article, please visit http://www.forbes.com/ Portions of the decision, which is made public via FINRA's Web site, were quoted in the articles. Specifically, Mr. Singer wrote, "The FINRA Arbitration Panel recommended on Claimant Hurtado’s Form U5 as filed by Respondent Chase Investment Services, that the ‘Reason For Termination” “After initially terminating Claudia Hurtado for an alleged violation of the firm’s Policies and Procedures (not securities related), the FINRA arbitration panel determined that the firm had not proven that Claudia Hurtado had violated the firm’s Policies and Procedures.” The Panel further recommends that the answers to the Internal Review Disclosure Reporting Page Section 3 and Termination Disclosure Reporting Page Section 4 in the above Form U5 be expunged and replaced with the above replacement language. The panel further recommends that the answers to the Internal Review Disclosure Reporting Page Section 5(B) and Termination Disclosure Reporting Page Section 2 in the above Form U5 be expunged and changed to Employment Terminated for Other Reasons. Mr. Singer commented, "Nice bit of legal work by Hurtado’s lawyer: Vincent Imbesi, Esq." Claudia M. Hurtado, Claimant, vs. Chase Investment Services Corp., Respondent (FINRA Arbitration 11-00875, July 27, 2012). End
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