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Securities
Expungement

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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