Securities
Expungement
Kevin Thomas Moran v. Ameriprise Advisor Services Inc.
Published: Mar. 1, 2019 | Result Date: Jan. 9, 2019 | Filing Date: Jun. 12, 2018 |Case number: FINRA: 18-02196 Arbitration – Expungement Denied
Arbitrator
Attorneys
Claimant
Dochtor Kennedy
(AdvisorLaw LLC)
Eric Litow
(HLBS Law)
Respondent
Howard M. Klausmeier
(Ameriprise Financial Services Inc.)
Facts
Kevin Moran filed an arbitration claim against Ameriprise Advisor Services Inc. in relation to a customer complaint in his Central Registration Depository records.
Contentions
CLAIMANT'S CONTENTIONS: Moran requested expungement of a customer complaint from his Central Registration Depository records because he claimed the allegation was factually impossible, clearly erroneous or false.
RESPONDENT'S CONTENTIONS: Respondent also requested expungement of the customer complaint from claimant's record.
Result
The arbitrator denied the expungement request.
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