Securities
Expungement
Jeffrey Aaron Horn v. RBC Capital Markets LLC
Published: Sep. 1, 2017 | Result Date: Jun. 1, 2017 | Filing Date: Nov. 2, 2016 |Case number: FINRA - 16-03211 Arbitration – Expungement
Arbitrator
Attorneys
Claimant
Michael O'Gara
Advisor Law LLC
Dochtor Kennedy
(AdvisorLaw LLC)
Respondent
Bryce M. Cullinane
(Keesal, Young & Logan APC)
Facts
Jeffrey Horn filed a claim against RBC Capital Markets LLC, seeking expungement of his CRD records.
Contentions
CLAIMANT'S CONTENTIONS: Claimant sought an expungement of his CRD records related to an underlying customer complaint.
Result
The Arbitrator found that Horn was entitled to expungement of his CRD records, as the claim was false.
#128015
For reprint rights or to order a copy of your photo:
Email
jeremy@reprintpros.com
for prices.
Direct dial: 949-702-5390