Facts

Claimant Allen Frances Shreiber filed a petition to compel arbitration in relation to three customer dispute occurrences filed with respondent Citigroup Global Markets Inc.

CLAIMANT'S CONTENTIONS: Claimant sought expungement of two customer complaints and one FINRA arbitration case from his Central Registration Depository records. Shreiber denied violations of investment related sales. Shreiber also argued that the complaints filed against him were false and erroneous.

RESPONDENT'S CONTENTIONS: Respondent did not oppose claimant's request for expungement.

Result

The arbitrator denied one request for expungement and recommended expungement for claimant's two remaining requests. The arbitrator concluded, as to the expungement recommended claims, that the customer allegations were factually false and impossible.

Other Information

The customers did not participate in the expungement proceedings.