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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

Morris S. Getzels


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.


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