Securities
CRD Records
William David Leven v. UBS Financial Services Inc.
Published: Aug. 25, 2017 | Result Date: Jul. 19, 2017 | Filing Date: Jul. 18, 2016 |Case number: FINRA 16-02077 Arbitration – Expungement
Arbitrator
Attorneys
Claimant
Scott E. Rahn
(RMO LLP)
Respondent
Katie M. Kimbrell
(Bressler, Amery & Ross, P.C.)
Facts
William Leven filed a claim against UBS Financial Services Inc. in connection with underlying customer complaints.
Contentions
CLAIMANT’S CONTENTIONS: Claimant sought expungement of his CRD records related to the underlying customer complaints.
RESPONDENT'S CONTENTIONS: Respondent denied the allegations.
Result
The Arbitrator recommended the expungement of Leven’s CRD records.
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