Securities
Securities Fraud
Misrepresentation
Barnard Lewis Family Trust v. Chase Investment Services Corp., WAMU Investments Inc.
Published: Jun. 30, 2012 | Result Date: May 29, 2012 | Filing Date: Jan. 1, 1900 |Case number: 11-00494 Arbitration – Expungement
Facts
Claimant alleged several causes of action against Respondent, including securities fraud, breach of contract, and misrepresentation, all of which related to the Claimant's investment in medium-term notes. The parties eventually agreed to a dismissal with prejudice, but sought to keep the case open in order to hear the respondents' expungement request. The expungement motion for non-party Bradley James Scott was not opposed.
Result
The panel recommended the expungement of non-party Bradley James Scott because Scott did not contribute to any loss suffered by the claimant.
Other Information
ARBITRATORS: Herbert Liberman, Amy Seltzer, Paul D. Gutierrez.
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