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Securities
Expungement

Victoria Lynn Mueller v. Charles Schwab & Co. Inc.

Published: Feb. 2, 2018 | Result Date: Nov. 21, 2017 | Filing Date: Apr. 7, 2017 |

Case number: FINRA: 17-00901 Arbitration –  Expungement Denied

Arbitrator

Edward Blumstein


Attorneys

Claimant

Alvin L. Fishman
(JRA Law Partners LLP)


Respondent

Garrett R. Wynne
(Charles Schwab & Co. Inc.)


Facts

Victoria Lynn Mueller sued Charles Schwab & Co. Inc.

Contentions

CLAIMANT’S CONTENTIONS: Mueller sought expungement of a customer occurrence from her record.

RESPONDENTS' CONTENTIONS: Charles Schwab contended that it updated Mueller's record.

Result

Mueller’s request was denied.

Other Information

ARBITRATORS: Edward Blumstein, presiding chairperson; Melanie M. Cunningham; Lucia A. Aschettino.


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