Shawn Michael Richardson v. Prudential Equity Group LLC, Wells Fargo Clearing Services LLC
Published: Mar. 1, 2019 | Result Date: Dec. 28, 2018 | Filing Date: Feb. 13, 2018 |Case number: FINRA: 18-00578 Arbitration – Expungement
Arbitrator
Attorneys
Claimant
Michael J. Bessette
(HLBS Law)
Respondent
Geoffrey S. Beckham
(Wells Fargo Advisors LLC)
for Wells Fargo
Alan S. Brodherson
(Law Offices of Alan S. Brodherson)
for Prudential
Facts
Shawn Richardson filed an arbitration claim against Prudential Equity Group LLC and Wells Fargo Clearing Services LLC in relation to customer complaints from his Central Registration Depository records.
Contentions
CLAIMANT'S CONTENTIONS: Richardson sought expungement of two customer complaints from his Central Registration Depository records.
RESPONDENT'S CONTENTIONS: Prudential took no position on the request.
Result
The arbitrator recommended expungement of the customer complaints because the allegations were false.
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