John Gregory Paffendorf v. Merrill Lynch Pierce Fenner & Smith Inc.
Published: Jan. 25, 2019 | Result Date: Dec. 7, 2018 | Filing Date: Feb. 22, 2018 |Case number: FINRA: 18-00736 Arbitration – Expungement
Arbitrator
Attorneys
Claimant
Thomas C. Frost
(The Frost Firm)
Respondent
Stuart D. Roberts
(Bressler, Amery & Ross PC)
Sarah K. Yates
(Bressler, Amery & Ross PC)
Facts
John Paffendorf was employed from Oct. 2, 1989 to March 10, 2011, by Merrill Lynch Pierce Fenner & Smith Inc. Claimant filed an arbitration claim against his former employer in relation to internal review disclosures.
Contentions
CLAIMANT'S CONTENTIONS: Claimant requested the expungement of occurrences 1553436 and 1553437 from his CRD record and a finding that the occurrences were defamatory and require expedited expungement.
RESPONDENT'S CONTENTIONS: Respondent denied the allegations and asserted various affirmative defenses.
Result
The Arbitrator recommended expungement of the occurrences.
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