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
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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