Marc C. Seward v. Securities America Inc.
Published: Aug. 20, 2016 | Result Date: May 24, 2016 | Filing Date: Jan. 1, 1900 |Case number: 15-02144 Arbitration – Expungement
Court
FINRA
Attorneys
Claimant
Vincent D. Slavens
(Benink & Slavens LLP)
Respondent
Sabryne E. Coleman
(Edgerton & Weaver LLP)
Facts
Claimant, an investment advisor, sought expungement of a FINRA arbitration case and any reference to the case from his Central Registration Depository records.
Contentions
CLAIMANT'S CONTENTIONS:
Claimant contended that the complainant's claims as they related to him were false, and that he was not involved in any alleged wrongdoing or misconduct.
RESPONDENT'S CONTENTIONS:
Respondent did not oppose claimant's request for expungement.
Result
Concluding that the claims against claimant were clearly erroneous, the arbitration panel recommended expungement.
Other Information
ARBITRATORS: George L. Tindall, Randy R. Maher, Robert A. Lakosil.
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