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Securities
Expungement
Misrepresentation

Bradley Jay Bamblatt v. UBS Financial Services Inc.

Published: Dec. 15, 2017 | Result Date: Nov. 14, 2017 | Filing Date: Feb. 24, 2017 |

Case number: FINRA: 17-00511 Arbitration –  Expungement

Arbitrator

Philip A. Tymon


Attorneys

Claimant

Dochtor Kennedy
(AdvisorLaw LLC)

Armin Sarabi
(AdvisorLaw LLC)


Respondent

Ian R. Ross
(Keesal, Young & Logan APC)


Facts

Bradley Bamblatt sued UBS Financial Services Inc.

Contentions

PLAINTIFF'S CONTENTIONS: Bamblatt requested expungement of a customer dispute occurrence from his Central Registration Depository record. Bamblatt argued that the customer's complaint was false.

DEFENDANTS' CONTENTIONS: UBS did not oppose the expungement and denied any potential claims of wrongdoing.

Result

The arbitrator recommended expungement finding that the customer’s complaint was false.


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