Aaron A. DelSignore v. UBS Financial Services Inc.
Published: Feb. 2, 2018 | Result Date: Dec. 28, 2017 | Filing Date: Feb. 28, 2017 |Case number: FINRA: 17-00532 Arbitration – Expungement Denied
Arbitrator
Attorneys
Claimant
Cory L. Braddock
(Snell & Wilmer LLP)
Respondent
Erin M. Weesner-McKinley
(Office of the Long Beach City Attorney)
Facts
Aaron DelSignore sued UBS Financial Services Inc.
Contentions
CLAIMANT’S CONTENTIONS: DelSignore argued for the expungement of an arbitration proceeding that was listed on his CRD record. DelSignore contended that the claim in the underlying arbitration was factually impossible and erroneous.
Damages
DelSignore sought expungement of the arbitration from his record and sought $50 in compensatory damages.
Result
DelSignore's request for full expungement was denied. Instead, additional language was added to DelSignore's record. The language stated that DelSignore was exonerated of the allegations of misconduct brought against him in the underlying arbitration because the allegations were clearly erroneous.
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