Broker Expunges 12-Year Old Complaint

By: Imbesi Law
NEW YORK - Dec. 28, 2020 - PRLog -- Imbesi Law's client, a financial advisor for 15 years, sought expungement of a customer complaint submitted in December of 2008. The complaint alleged unauthorized transactions in the sale of a variable annuity contract.

Imbesi Law's client appeared telephonically for a hearing and was represented by the firm's partner, Brittany Weiner. The client testified that the sale was authorized and that he was not the registered representative involved in the alleged violations.

The executor of the estate for the complaining customer appeared and testified, but did not object to the request for expungement.

The day after the hearing, Arbitrator Evdokia Sofos issued her decision, recommending expungement of all references to the customer complaint. Arbitrator Sofos concluded, pursuant to FINRA Rule 2080, that the claim, allegation or information was false.

The decision for FINRA Case Number 20-02228 is publicly available on FINRA's website and can be read here:

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