Jeffrey David Thoele v. Walnut Street Securities Inc., Next Financial Group Inc., The O.N. Equity Sales Company
Published: Jan. 12, 2018 | Result Date: Aug. 25, 2017 | Filing Date: Oct. 27, 2016 |Case number: FINRA 16-03159 Arbitration – Expungement Denied
Arbitrator
Attorneys
Claimant
Owen Harnett
(HLBS Law)
Respondent
Jeremy S. Carr
(Cetera Financial Group)
for Walnut Street Securities Inc. n/k/a Cetera Advisor Networks LLC
John T. Unger
(NEXT Financial Group Inc.)
Mark E. Elsener
(Ohio National Financial Services)
for O.N. Equity Sales Company
Facts
Claimant Jeffrey David Thoele filed suit against Walnut Street Securities Inc., Next Financial Group Inc., and The O.N. Equity Sales Co., in relation to his Central Registration Depository record.
Contentions
CLAIMANT'S CONTENTIONS: Claimant contended that information regarding ten customer complaints involving securities should be expunged from his registration records. He also sought $1 in compensatory damages.
RESPONDENTS’ CONTENTIONS: Respondents Walnut and Next denied claimants’ allegations. Respondent ONESCO took no position regarding claimant’s request.
Result
The arbitrator denied claimant’s request.
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