Former Vice President of SMBC Nikko Securities America, Inc Wins Expungement After FINRA Arbitration

NEW YORK - Oct. 19, 2015 - PRLog -- Attorney Brittany Weiner, a partner of the law firm Imbesi Law P.C., represented the victorious former FINRA associated person that filed a claim for arbitration requesting expungement on his Form U5. After an in-person hearing, the arbitrator issued an award granting the firm’s client (“Claimant”) expungement of the termination explanation.

The FINRA arbitrator ruled that Claimant’s reason for termination should be amended to remove that the Claimant violated company policy. The arbitrator concluded that “the original explanation given is misleading and therefore defamatory.” The arbitrator also determined that the Form U5 gave a “false impression that negatively impacts the Claimant.”

Brittany Weiner, a partner of Imbesi Law P.C., represents both customers and brokers in FINRA arbitration, including issues involving expungement of inaccurate information maintained in the CRD and on Form U5s. In some jurisdictions, this press release could be deemed as Attorney Advertising.  Prior results to not guarantee future success.

Brittany Weiner, Esq.
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Tags:Imbesi Law PC, Expungement
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