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
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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