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
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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