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FINRA arbitration award grants expungement of alleged customer complaint
In the Matter of the FINRA Arbitration Case Number 13-02330. Arbitration award in favor of FINRA broker grants complete expungement.
The FINRA broker filed a claim for Arbitration that requested various remedies including expungement of all relevant information from his Form U5 and BrokerCheck.
After a hearing, the FINRA arbitrator issue an award that set forth:
Claimant's request for expungement is granted. The Arbitrator recommends the expungement [of all references to the customer complaint filed by Respondents against Claimants with CRD …]
Pursuant to Rule 12805 of the Code, the Arbitrator made the following Rule 2080 affirmative finding of fact:
The claim, allegation, or information is false.
A copy of the decision can be obtained by accessing FINRA's website.
Imbesi Christensen represents both customers and brokers in FINRA arbitration, including issues involving expungement of inaccurate information maintained in FINRA’s CRD.
Page Updated Last on: Oct 31, 2014