Charles Schwab & Co. Inc. v. Brad A. Baggarly
Published: Jun. 7, 2014 | Result Date: May 19, 2014 | Filing Date: Jan. 1, 1900 |Case number: 13-02727 Arbitration – Expungement
Court
FINRA
Attorneys
Claimant
Michael T. West
(Centaurus Financial Inc.)
Audette Paul Morales
(Gordon & Rees LLP)
Respondent
Thomas D. Mauriello
(Mauriello Law Firm APC)
Facts
Charles Schwab & Co. Inc. filed for arbitration against Brad Baggarly.
Contentions
PLAINTIFF'S CONTENTIONS:
Charles Schwab requested expungement of an underlying arbitration matter from Jeffrey Sharpe's registration records.
Result
The arbitration panel recommended the requested expungement, finding that Sharpe was not involved in any alleged investment-related sales practice violation.
Other Information
ARBITRATORS: June McLaughlin, A. Joel Klein and Kenneth R. Hyman.
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