Securities
Breach of Contract
Written and Oral Contracts
Louise Leon v. Dale William Grubb, Morgan Stanley & Co. LLC
Published: Jan. 19, 2013 | Result Date: Dec. 21, 2012 | Filing Date: Jan. 1, 1900 |Case number: 12-00604 Arbitration – Expungement
Facts
Claimant brought an action against respondents relating to investments in Met Life annuities, alleging claims for breach of fiduciary duty, breach of contract, misrepresentation and omission of material fact, and breach of contract to supervise its broker. Claimant requested compensatory damages. Respondent requested expungement when it filed its Answer.
Result
After the Parties reached a settlement agreement, the Panel issued an Award recommending that any references to Claimant's complaint should be expunged from FINRA's Central Depository Record (CRD) for Respondent Dale William Grubb.
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