Securities
Expungement
John Phillip Toman Jr. v. Morgan Stanley Smith Barney LLC
Published: Jul. 6, 2013 | Result Date: Jun. 14, 2013 | Filing Date: Jan. 1, 1900 |Case number: 12-04312 Arbitration – Expungement
Court
FINRA
Attorneys
Claimant
Debra V. Achkire
(Morgan Stanley)
Respondent
Debra V. Achkire
(Morgan Stanley)
Facts
John Toman Jr. filed an arbitration claim against Morgan Stanley Smith Barney LLC, seeking expungement of a customer complaint reflected in his Central Registration Depository records reported by Morgan Stanley.
Result
The arbitrator recommended expungement of all references to the complaint from Toman's registration records.
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