Securities
Expungement
Edward Wayne Butowsky v. Morgan Stanley & Co. LLC
Published: Mar. 25, 2017 | Result Date: Jan. 27, 2017 | Filing Date: Jan. 1, 1900 |Case number: 15-03015 Arbitration – Expungement
Facts
Edward Butowsky filed a claim against Morgan Stanley & Co. LLC, seeking the expungement of his CRD records.
Contentions
CLAIMANT'S CONTENTIONS:
Claimant sought the expungement of his record in connection with six customer complaints that claimant claimed were inappropriate, wrongful, and based on unsupported data.
RESPONDENT'S CONTENTIONS:
Respondent had no objection, as the statement of claim did not allege that claimant engaged in any misconduct in connection with the underlying complaints.
Result
The FINRA Panel recommended the expungement of Butowsky's records in connection with the complaints at issue.
Other Information
ARBITRATORS: Jeff Abrams, C. Sumpter Logan, Larry N. Quinn.
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