UPDATE : ARBchek

This Report is a product of Securities Arbitration Commentator, Inc.

New Award Briefs

Report Dated: 2024-05-24

2024-12

Primary Sort

Secondary Sort

Dispute Information

Damages*

TypeDisp

CustomerMember

Allegation I

BreachFiducDty

Short Caption

Sheehy v. Beres

Allegation II

Negligence

Forum

FINRA

Allegation III

Docket No

22-00992

Products

MutualFunds; Hypothecation

Issue Date

2024-05-01

Situs

San Francisco

State

CA

Clmd Compensatory

0.0

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

0.0

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

A customer (as Executrix of an Estate) alleging negligence with respect her purchase of a Franklin Templeton California tax-free bond fund and a liquidity access line loses her case against Respondents. The Arbitrator Chair dissents with respect to the denial of expungement to Respondent broker.

Notes

All-Public Panel. Arbitrator Remarks -- Arbitrator dissents with explanation.

People & Entities

Arbitrators

Ralph A. Cotton, CPA (Dissents) - Chair; Scott Dodson, Esq. - Chair; John Timothy Nardell

Broker-Dealers Named

Morgan Stanley Smith Barney LLC

Professionals

  • Cs: Melinda Jane Steuer, Law Offices of M.J. Steuer, Sacramento, CA.
  • Rs: (KCB & MSSBLLC) Elizabeth H. Lindh & Connor M. Trafton, Keesal Young & Logan, Long Beach, CA. OSC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Hackley v. Woodbury Financial

Allegation II

Forum

FINRA

Allegation III

Docket No

23-01345

Products

Insurance; VariableAnnuities; CorpDebt

Issue Date

2024-05-01

Situs

Denver

State

CO

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

An Arbitrator objects to the awarding of expungement of two customer complaints from Claimant broker's CRD record but agrees with the rest of the Panel with respect to awarding said broker expungement of a third.

Notes

Arbitrator Remarks -- Expungement granted. Arbitrator dissents with explanation.

Arbitrators

Adam Michael Porter - Chair; Leonard M. Goldstein (Dissents); Martin M. Berliner, Esq.

Broker-Dealers Named

Woodbury Financial Services Incorporated

Professionals

  • Cs: (ASH) Avinoam Rosenfeld, The Rosenfeld Law Office, Lawrence, NY.
  • Rs: (WFSInc) Jennifer R. Cox & Justin Sacca, Advisor Group, Jersey City, NJ. ISC.

TypeDisp

MemberEmployee

Allegation I

LoanDefault

Short Caption

Wells Fargo v. Graybeal

Allegation II

BreachContract

Forum

FINRA

Allegation III

Docket No

24-00260

Products

PromissoryNote

Issue Date

2024-04-29

Situs

Orlando

State

FL

Clmd Compensatory

225.0

Total Amt Awarded

252.5

Compensatory Awarded

225.0

Punitive Damage Awarded

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

A non-appearing registered representative is held liable to Claimant broker-dealer for the amounts due and owing pursuant to a promissory note agreement he signed as part of his employment.

Notes

None.

Arbitrators

Christopher J. Klein, Esq.

Broker-Dealers Named

Wells Fargo Clearing Services LLC

Professionals

  • Cs: (WFCSLLC) Carlin A. McCrory, Troutman Pepper et al., Atlanta, GA. OSC.
  • Rs: (TAG) None.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Cohen v. Triad Advisors

Allegation II

Forum

FINRA

Allegation III

Docket No

23-02246

Products

DirectInvesmts

Issue Date

2024-04-29

Situs

Atlanta

State

GA

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

Registered Rep is granted expungement of three customer complaints from his CRD record despite the objection of one customer.

Notes

Panel composition issue. Arbitrator Remarks -- Expungement granted.

Arbitrators

Andy W. Morgan, Esq.

Broker-Dealers Named

Triad Advisors LLC

Professionals

  • Cs: (DSC) Brian Luther, FA Expungement Services LLC, Denver, CO.
  • Rs: (TALLC) Greg Curley, Osaic Incorporated, Jersey City, NJ. ISC.

TypeDisp

CustomerMember

Allegation I

UnauthTdg

Short Caption

Paller v. Wells Fargo

Allegation II

BestExecution

Forum

FINRA

Allegation III

Misreprestn

Docket No

22-01455

Products

Equity

Issue Date

2024-04-30

Situs

Chicago

State

IL

Clmd Compensatory

216.0

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

0.0

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

A customer alleging that his order to sell shares of Clover Health Investment Corp. stock was placed after hours instead at the end of the trading day loses his case against Respondent broker-dealer.

Notes

All-Public Panel.

Arbitrators

Mark L. Miller, Esq. - Chair; Susan M. Coleman; Lisa M. Krimen

Broker-Dealers Named

Wells Fargo Clearing Services LLC

Professionals

  • Cs: Bruce Lewitas & Douglas W. Hyman, Lewitas Hyman PC, Chicago, IL.
  • Rs: (WFCSLLC) Valerie Holder, Wells Fargo Legal Department, San Francisco, CA. ISC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Mogul v. UBS Financial

Allegation II

Forum

FINRA

Allegation III

Docket No

23-02339

Products

NP

Issue Date

2024-05-03

Situs

Chicago

State

IL

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

An Arbitrator grants a broker's request for expungement of a customer complaint from appearing on his CRD record.

Notes

Panel composition issue. Arbitrator Remarks -- Expungement granted.

Arbitrators

Michael F. Jordan, Esq.

Broker-Dealers Named

UBS Financial Services Incorporated

Professionals

  • Cs: (SHM) Craig A. Riha, Gusrae Kaplan Nusbaum PLLC, Melville, NY.
  • Rs: (UBSFSInc) John Murphy, J. Murphy & Associates, New York, NY. OSC.

TypeDisp

MemberEmployee

Allegation I

LoanDefault

Short Caption

Wells Fargo v. Graham

Allegation II

BreachContract

Forum

FINRA

Allegation III

Docket No

24-00216

Products

PromissoryNote

Issue Date

2024-04-29

Situs

Jackson

State

MS

Clmd Compensatory

733.6

Total Amt Awarded

733.6

Compensatory Awarded

733.6

Punitive Damage Awarded

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

A non-appearing broker is held liable to his former employer for the amount due and owing pursuant to the terms of an executed promissory note agreement.

Notes

Big $s.

Arbitrators

Robert H. Putnam, Jr., Esq.

Broker-Dealers Named

Wells Fargo Clearing Services LLC

Professionals

  • Cs: (WFCSLLC) Keith J. Barnett, Troutman Pepper et al., Atlanta, GA. OSC.
  • Rs: (HOG) No-show.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Traitz v. Stifel Nicolaus

Allegation II

Forum

FINRA

Allegation III

Docket No

23-02274

Products

NP

Issue Date

2024-05-02

Situs

Jersey City

State

NJ

Clmd Compensatory

Equity

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

An Arbitrator denies a broker's request for expungement of four customer complaints from appearing on his CRD record after finding he did not meet the strict standards for expungement relief as said complaints were filed decades prior and the unavailability of documentation or witnesses to verify his testimony.

Notes

Panel composition issue. Arbitrator Remarks.

Arbitrators

Sam Antar, Esq.

Broker-Dealers Named

Stifel Nicolaus & Company Incorporated

Professionals

  • Cs: (RDT) Brian Luther, FA Expungement Services LLC, Denver, CO.
  • Rs: (SN&CInc) James C. Browning Jr., St. Louis, MO. ISC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Riley v. UBS Financial

Allegation II

Forum

FINRA

Allegation III

Docket No

23-02990

Products

Equity

Issue Date

2024-05-02

Situs

Jersey City

State

NJ

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

Registered Rep is awarded expungement of two customer complaints from appearing on his CRD record.

Notes

Panel composition issue. Arbitrator Remarks -- Expungement granted.

Arbitrators

Alice E. Winkler, Esq.

Broker-Dealers Named

UBS Financial Services Incorporated

Professionals

  • Cs: (JRR) Randi Perry Spallina, Bressler Amery & Ross, Fort Lauderdale, FL.
  • Rs: (UBSFSInc) Melissa J. Gworek, UBS Business Solutions US LLC, Nashville, TN. ISC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Fusco v. David Lerner

Allegation II

Forum

FINRA

Allegation III

Docket No

23-02963

Products

NP

Issue Date

2024-05-03

Situs

New York

State

NY

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

Broker wins expungement of three customer complaints from appearing on his CRD record.

Notes

Panel composition issue. Arbitrator Remarks -- Expungement granted.

Arbitrators

Madelon M. Rosenfeld, Esq.

Broker-Dealers Named

David Lerner Associates Incorporated

Professionals

  • Cs: (NAF) Jhansi Fusco, HLBS Law, Broomfield, CO.
  • Rs: (DLAInc) No-show.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Burgio v. Prime Capital

Allegation II

Forum

FINRA

Allegation III

Docket No

23-02991

Products

NP

Issue Date

2024-05-03

Situs

Buffalo

State

NY

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

An Arbitrator grants Claimant broker's request for expungement of a customer complaint from appearing on his CRD record after finding said complaint was false and factually impossible under FINRA Rule 2080.

Notes

Panel composition issue. Arbitrator Remarks -- Expungement granted.

Arbitrators

Kevin R. Zehe

Broker-Dealers Named

Prime Capital Services Incorporated

Professionals

  • Cs: (DRB) Jonathan M. Sterling & Samuel N. Kopmar, Saretsky Hart et al., Birmingham, MI.
  • Rs: (PCSInc) Emily A. Hayes, National Securities Corporation, New York, NY. ISC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Attkiss v. UBS Financial

Allegation II

Forum

FINRA

Allegation III

Docket No

23-03032

Products

Options

Issue Date

2024-05-03

Situs

New York

State

NY

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

Claimant broker is awarded expungement of ten customer complaints from her CRD record involving the purchase of options relating to Respondent broker-dealer's Yield Enhancement Options Strategy (YES).

Notes

Panel composition issue. Arbitrator Remarks -- Expungement granted.

Arbitrators

Mary Julia O'Connell

Broker-Dealers Named

UBS Financial Services Incorporated

Professionals

  • Cs: (SMA) David I. Hantman, Bressler Amery & Ross, New York, NY.
  • Rs: (UBSFSInc) Melissa J. Gworek, UBS Business Solutions US LLC, Nashville, TN. ISC.

TypeDisp

EmployeeMember

Allegation I

Reformation(U-5)

Short Caption

Evans v. Tradesk Securities

Allegation II

Defamation

Forum

FINRA

Allegation III

Docket No

23-03400

Products

NP

Issue Date

2024-05-02

Situs

New York

State

NY

Clmd Compensatory

0.0

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

0.0

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

A broker loses his requests for damages (punitive damages) and reformation of alleged defamatory information from his Form U5 record.

Notes

Please Note* This matter proceeded pursuant to Rule 13800 of the Code. The Cs did not request a hearing.

Arbitrators

Laura Carraher, Esq.

Broker-Dealers Named

Tradesk Securities Incorporated

Professionals

  • Cs: (DCE) None.
  • Rs: (TSInc) Eric Chu, Short Hills, NJ. ISC.
  • Rs: (MB & EC) None.

TypeDisp

MemberEmployee

Allegation I

LoanDefault

Short Caption

DA Davidson v. Daver

Allegation II

BreachContract

Forum

FINRA

Allegation III

Docket No

24-00246

Products

PromissoryNote

Issue Date

2024-05-03

Situs

New York

State

NY

Clmd Compensatory

14.6

Total Amt Awarded

14.6

Compensatory Awarded

14.6

Punitive Damage Awarded

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

A non-appearing registered representative is held liable for the amount due and owing on a promissory note she executed as part of her employment with Claimant broker-dealer.

Notes

None.

Arbitrators

Edward W. Morris, Jr., Esq.

Broker-Dealers Named

DA Davidson & Company

Professionals

  • Cs: (DAD&Co) Nancy L. Hendrickson, Chicago, IL. ISC.
  • Rs: (AD) No-show.

TypeDisp

EmployeeMember

Allegation I

Reformation(U-5)

Short Caption

Lydrickson v. Franklin Distributors

Allegation II

Defamation

Forum

FINRA

Allegation III

Docket No

23-01432

Products

NP

Issue Date

2024-05-03

Situs

Cleveland

State

OH

Clmd Compensatory

0.0

Total Amt Awarded

Equity

Compensatory Awarded

0.0

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

Claimant broker is awarded reformation of defamatory information from appearing on his Form U5 record.

Notes

Arbitrator Remarks -- Reformation U-5 granted.

Arbitrators

Jeffrey M. Bain, Esq.

Broker-Dealers Named

Franklin Distributors LLC

Professionals

  • Cs: (GAL) Harris Freedman & Dochtor Kennedy, AdvisorLaw LLC, Broomfield, CO.
  • Rs: (FDLLC) Miles S. Winder IV, Franklin Templeton Companies LLC, San Mateo, CA. ISC.

TypeDisp

SmallClms

Allegation I

Expungement(CRD)

Short Caption

Kuhlow v. Fidelity Brokerage

Allegation II

Forum

FINRA

Allegation III

Docket No

23-03278

Products

MutualFunds; ETFs

Issue Date

2024-04-30

Situs

Cleveland

State

OH

Clmd Compensatory

0.0

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

0.0

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

An Arbitrator awards Respondent broker expungement of Occurrence Number 2310211 from his CRD record despite the objection of the customer.

Notes

Please Note* This matter proceeded pursuant to Rule 12800 of the Code. Related Proceedings: This Award was reissued by FINRA to reflect the awarding of expungement to the Respondent broker.

Arbitrators

Linda Arlene Michler, Esq.

Broker-Dealers Named

Fidelity Brokerage Services LLC

Professionals

  • Cs: Michael J. Betts, M.J. Betts LLC, Pittsburgh, PA.
  • Rs: (FBSLLC) Noah D. Sorkin, FMR LLC Legal Department, Boston, MA. ISC.
  • Rs: (ACH) Joel M. Everest, Bressler Amery & Ross, Birmingham, AL.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Del Toro v. UBS Financial

Allegation II

Forum

FINRA

Allegation III

Docket No

22-02666

Products

MuniSecs

Issue Date

2024-04-30

Situs

San Juan

State

PR

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

An Arbitrator awards Claimant registered representative expungement of six customer complaints from appearing on his CRD record.

Notes

Panel composition issue. Arbitrator Remarks -- Expungement granted.

Arbitrators

Louis David Huss

Broker-Dealers Named

UBS Financial Services Incorporated

Professionals

  • Cs: (DDT) Sonia M. Lopez del Valle, McConnell Valdes LLC, San Juan, PR.
  • Rs: (UBSFSInc) Rey F. Medina-Velez, UBS Financial Services Incorporated of Puerto Rico, San Juan, PR. ISC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Rosich Clemente v. Popular Securities

Allegation II

Forum

FINRA

Allegation III

Docket No

23-02189

Products

MuniSecs; MutualFunds

Issue Date

2024-04-29

Situs

San Juan

State

PR

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

An Arbitrator provides factual background and explains why she has decided to grant a broker's request for expungement of two customer complaints from her CRD record.

Notes

Panel composition issue. Arbitrator Remarks -- Expungement granted.

Arbitrators

Nancy J. Cliff, Esq.

Broker-Dealers Named

Popular Securities LLC

Professionals

  • Cs: (YMRC) Sara L. Velez Santiago & Diego Murgia Diaz, Pietrantoni Mendez & Alvarez LLC, San Juan, PR.
  • Rs: (PSLLC) Mariela M. Ramirez Morales & Maria T. Alvarez Santos, Popular Incorporated, San Juan, PR. ISC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Richards v. LPL Financial

Allegation II

Forum

FINRA

Allegation III

Docket No

23-02932

Products

Annuities

Issue Date

2024-04-29

Situs

Nashville

State

TN

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

Registered Rep wins expungement of a customer complaint from appearing on his CRD record.

Notes

Panel composition issue. Arbitrator Remarks -- Expungement granted.

Arbitrators

Harvey R. Linder, Esq.

Broker-Dealers Named

LPL Financial LLC

Professionals

  • Cs: (CDR) N. Nancy Ghabai, Ghabai Law Group LLC, Boston, MA.
  • Rs: (LPLFLLC) Rochelle Mayfield, Fort Mill, SC. ISC.

TypeDisp

CustomerMember

Allegation I

Suitability

Short Caption

Rosenthal v. UBS Financial

Allegation II

Misreprestn

Forum

FINRA

Allegation III

Supervision

Docket No

23-00429

Products

Options; Margin

Issue Date

2024-04-30

Situs

Dallas

State

TX

Clmd Compensatory

600.0

Total Amt Awarded

0.0

Compensatory Awarded

0.0

Punitive Damage Awarded

0.0

Attorney Fees Awarded

0.0

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

A customer voluntarily dismisses, with prejudice, his claims against Respondent broker-dealer involving his placement in the Yield Enhancement Options Strategy (YES). A Non-Party broker is awarded expungement of this matter from his CRD record.

Notes

Rescission Requested. All-Public Panel. Arbitrator Remarks -- Expungement granted.

Arbitrators

Albert Bates Wenzell, Jr. - Chair; Robert Barton McLeroy; Carl Haralson Ginsberg, Esq.

Broker-Dealers Named

UBS Financial Services Incorporated

Professionals

  • Cs: Samuel B. Edwards, Shepherd Smith et al., Houston, TX.
  • Rs: (UBSFSInc) Anthony J. Borelli, Riker Danzig et al., Morristown, NJ. OSC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Amsler v. Rockefeller Financial

Allegation II

Forum

FINRA

Allegation III

Docket No

23-01743

Products

Options

Issue Date

2024-04-30

Situs

Houston

State

TX

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

Two brokers are each awarded expungement of seven customer complaints each from their CRD records involving said customers placements in Respondent broker-dealer's YES investment strategy.

Notes

Panel composition issue. Arbitrator Remarks -- Expungement granted.

Arbitrators

Jeffrey R. Jury

Broker-Dealers Named

Rockefeller Financial LLC

Professionals

  • Cs: (FXA & MEL) Jennifer P. Farrar, Farrar Law PLLC, Tomball, TX.
  • Rs: (RFLLC) William Fenrich, New York, NY. ISC.

TypeDisp

EmployeeMember

Allegation I

Expungement(CRD)

Short Caption

Butcher v. International Assets

Allegation II

Forum

FINRA

Allegation III

Docket No

23-02598

Products

DirectInvesmts

Issue Date

2024-05-01

Situs

Houston

State

TX

Clmd Compensatory

Equity

Total Amt Awarded

Equity

Compensatory Awarded

Equity

Punitive Damage Awarded

Attorney Fees Awarded

* Damage field dollar figures are divided by 1,000 and rounded to the nearest $100; e.g., $2,500 appears as" 2.5."

Case Summary

Claimant broker is awarded his request for expungement of a customer complaint from appearing on his CRD record.

Notes

Arbitrator Remarks -- Expungement granted.

Arbitrators

G. Dennis Sheehan - Chair; Nick Thomas; Dawna Kim Larson

Broker-Dealers Named

International Assets Advisory LLC

Professionals

  • Cs: (WKB) Seth I. Rubinson, Rubinson Law, Houston, TX.
  • Rs: (IAALLC) Myra P. Nicholson, M. Nicholson PA, Orlando, FL. OSC.
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