Facts

Breanne Polonia asserted an arbitration claim against respondent Wells Fargo Clearing Services LLC, in relation to an underlying litigation claim brought against her by a customer.

PLAINTIFF'S CONTENTIONS: Polonia contended that the allegations against her were unfounded and sought expungement of all references to the civil litigation from her Central Registration Depository.

DEFENDANT'S CONTENTIONS: Respondent denied the allegations.

Result

The arbitrator recommended expungement of all references to the litigation from Polonia's CDR. The arbitrator based his determination on a written declaration from the originating customer's complaint. The declaration concluded that the underlying litigation was voluntarily dismissed because the customer was mistaken and Polonia engaged in no wrongdoing.