Anthony J. Gimelli Revocable Trust v. Ameriprise Financial Services Inc.
Published: Nov. 28, 2015 | Result Date: Oct. 13, 2015 | Filing Date: Jan. 1, 1900 |Case number: 14-02344 Arbitration – Expungement
Facts
The Anthony J. Gimelli Revocable Trust filed a complaint against Ameriprise Financial Services Inc. concerning Anthony Gimelli's account.
Contentions
COMPLAINANT'S CONTENTIONS:
Complainant contended that respondent failed to liquidate Gimelli's account following his death, and asserted causes of action for negligence, failure to execute, and breach of contract.
RESPONDENT'S CONTENTIONS:
Respondent denied the allegations and asserted various affirmative defenses. Respondent requested the expungement of unnamed party, Richard Bartch's CRD records
Damages
Complainant sought $70,000 in damages plus interest and attorney fees and costs.
Result
The parties ultimately reached a settlement. The sole arbitrator then granted Bartch's request for expungement.
Other Information
FILING DATE: July 21, 2014
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