Josette S. Hatter IRA; Rodney R. Hatter SEP IRA v. Brian Henderson, UBS Financial Services Inc.
Published: Oct. 6, 2017 | Result Date: Aug. 10, 2017 | Filing Date: May 30, 2016 |Case number: FINRA 16-01608 Arbitration – Expungement
Arbitrator
Attorneys
Claimant
Rodney R. Hatter
(Rodney R. Hatter PC)
Respondent
Elizabeth H. Lindh
(Keesal, Young & Logan)
Bryce M. Cullinane
(Keesal, Young & Logan APC)
Facts
The Josette S. Hatter IRA and Rodney R. Hatter SEP IRA filed a complaint against Brian Henderson and UBS Financial Services Inc. in connection with claimants' investment in Linn Energy LLC.
Contentions
CLAIMANTS' CONTENTIONS: Claimants asserted causes of action for improper handling, misrepresentations and omissions regarding one purchase by a pension plan.
RESPONDENTS' CONTENTIONS: Respondents denied the allegations and asserted various affirmative defenses.
Damages
Claimants sought $99,999 in damages.
Result
The arbitrator denied claimants' claims in their entirety and recommended the expungement of Henderson's CRD records regarding all references to this arbitration.
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