Securities
FINRA Rules
CRD Record
Travis John Hudak v. H. Beck Inc. and UBS Financial Services Inc.
Published: Jan. 12, 2018 | Result Date: May 31, 2017 | Filing Date: Oct. 19, 2016 |Case number: FINRA - 16-03056 Arbitration – Expungement
Arbitrator
Attorneys
Claimant
Owen Harnett
(HLBS Law)
Respondent
William McClelland Montgomery
(Keesal, Young & Logan)
Benjamin Cooper
(H. Beck Inc.)
Facts
Travis Hudak filed a claim against H. Beck Inc. and UBS Financial Services Inc., seeking expungement of his CRD records.
Contentions
CLAIMANT'S CONTENTIONS: Claimant sought expungement of his record related to four customer disputes, claiming that the underlying allegations there in were clearly erroneous or factually impossible. He denied involvement in the alleged misdeeds.
RESPONDENT'S CONTENTIONS: Respondents did not oppose expungement.
Result
The Arbitrator recommended the expungement of Hudak's CRD records.
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