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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

Raymond C. Kerr


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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