Law Firm of Imbesi Christensen Wins FINRA Expungement Arbitration on behalf of Broker

In the Matter of the FINRA Arbitration Between Claudia M. Hurtado, Claimant, vs. Chase Investment Services Corp., Respondent (FINRA Arbitration 11-00875, July 27, 2012). Expungement request granted after hearing.
By: Imbesi Christensen
 
Aug. 16, 2012 - PRLog -- Attorneys Vincent Imbesi, Jeanne Christensen and Brittany Weiner, of the law firm Imbesi Christensen, represented the victorious FINRA broker.

Expungement Granted:

The FINRA Arbitration Panel recommended on Claimant Hurtado’s Form U5 as filed by Respondent Chase Investment Services, that the ‘Reason For Termination” should be changed to “Other” and the accompanying “Termination Explanation” be revised to state:

“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.

All three arbitrators concurred with the decision after several days of hearings.
End
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Tags:Imbesi, Finra, Expungement, Broker, Christensen
Industry:FINRA Arbitration
Location:New York City - New York - United States
Subject:Awards
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