This is the property of the Daily Journal Corporation and fully protected by copyright. It is made available only to Daily Journal subscribers for personal or collaborative purposes and may not be distributed, reproduced, modified, stored or transferred without written permission. Please click "Reprint" to order presentation-ready copies to distribute to clients or use in commercial marketing materials or for permission to post on a website. and copyright (showing year of publication) at the bottom.

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.


#114295

For reprint rights or to order a copy of your photo:

Email jeremy@reprintpros.com for prices.
Direct dial: 949-702-5390