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Securities
CRD Records

Charles Paul Reinhold v. HBW Securities LLC

Published: Aug. 25, 2017 | Result Date: Jul. 17, 2017 | Filing Date: Jan. 1, 2016 |

Case number: FINRA 16-03192 Arbitration –  Expungement

Arbitrator

Richard J. Stall Jr.


Attorneys

Claimant

Dochtor Kennedy
(AdvisorLaw LLC)


Respondent

Louise A. Cowen
(Law Office of Louise A. Cowen)


Facts

Charles Reinhold filed a claim against HBW Securities Inc.

Contentions

CLAIMANT’S CONTENTIONS: Claimant sought the expungement of his CRD records, claiming he was not involved in the underlying occurrences.

RESPONDENT'S CONTENTIONS: Respondent denied the allegations.

Result

The Arbitrator recommended the expungement of Reinhold’s record in connection with certain occurrences.


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