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Securities
Expungement

Richard Brian French v. Morgan Stanley & Co. LLC, Morgan Stanley DW Inc.

Published: Jan. 26, 2018 | Result Date: Dec. 11, 2017 | Filing Date: Mar. 21, 2017 |

Case number: FINRA: 17-00727 Arbitration –  Expungement

Arbitrator

Michael E. Rohde


Attorneys

Claimant

Dochtor Kennedy
(AdvisorLaw LLC)


Respondent

Lesley Anne V. Tepper
(Morgan Stanley Smith Barney)


Facts

Richard French sued Morgan Stanley & Co. LLC and Stanley DW Inc.

Contentions

CLAIMANT’S CONTENTIONS: French argued that the customer complaints on his CRD record were factually impossible or erroneous. Thus, French sought to expunge those complaints from his record.

Damages

French sought expungement and sought $1 in damages.

Result

The arbitrator recommended expungement.


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