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
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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