Facts

Catherine Bruno filed a complaint against UBS Financial Services Inc. and Lawrence Zech, in connection with his former employment with the company.

CLAIMANT'S CONTENTIONS: Claimant asserted causes of action for breach of contract, breach of the implied covenant of good faith and fair dealing, unjust enrichment, promissory estoppel, fraudulent misrepresentation and concealment, failure to supervise, negligent hiring and retention, negligence, violations of the California Labor Code, unlawful and unfair business practices, tortious interference with existing contractual relations, and tortious interference with prospective economic relations. Claimant also sought an expungement of her Central Registration Depository records.

RESPONDENTS' CONTENTIONS: Respondent denied the allegations and asserted various affirmative defenses.

Result

The FINRA Panel dismissed Bruno's claims with prejudice after she failed to appear at the scheduled evidentiary hearing. The Panel also found her liable for $10,000 in attorney fees.

Other Information

ARBITRATORS: Guenter S. Cohn, presiding chairperson; Doris V. Knotter; Seth Schwartz.