Contracts
Breach of Contract
John Philip Toman Jr. v. Wells Fargo Advisors Financial Network
Published: Feb. 11, 2017 | Result Date: Dec. 2, 2016 | Filing Date: Jan. 1, 1900 |Case number: 16-00543 Arbitration – Respondent
Facts
Claimant sought expungement of a customer complaint from his Central Registration Depository record.
Contentions
CLAIMANT'S CONTENTIONS:
Claimant contended that he was entitled to expungement pursuant to FINRA Rule 2080(b).
RESPONDENT'S CONTENTIONS:
Respondent did not oppose claimant's request.
Result
The arbitration panel denied claimant's request.
Other Information
ARBITRATORS: Randy R. Maher, Doris V. Knotter, Brett W. Everhart.
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