Facts

Claimant requested to have five records of customer disputes expunged. The records related to settlements having to do with limited partnership interests, which were sold.

PLAINTIFF'S CONTENTIONS: Claimant contended that respondent should respond to his request for the expungements.

DEFENDANT'S CONTENTIONS: Respondent argued that claimant failed to assert a basis for the dispute. However, respondent did not object to the expungement.

Result

After an arbitration hearing held telephonically, and actions required by the panel, which were taken by the claimant with regard to customers involved in the complaints, the panel decided to recommend the expungement sought.

Other Information

ARBITRATORS: Dean J. Dietrich, presiding chairperson, Jennifer Schwartz, Timothy P. Bogan.