Adam Scot Goldstein v. Ameriprise Financial Services Inc.
Published: Mar. 1, 2019 | Result Date: Dec. 28, 2018 | Filing Date: Apr. 10, 2018 |Case number: FINRA: 18-01318 Arbitration – Expungement
Arbitrator
Attorneys
Plaintiff
Chad E. Weaver
(Freeman, Mathis & Gary LLP)
Respondent
Howard M. Klausmeier
(Ameriprise Financial Services Inc.)
Facts
Adam Goldstein filed an arbitration claim against Ameriprise Financial Services Inc. in relation to a customer complaint.
Contentions
CLAIMANT'S CONTENTIONS: Goldstein contended that the underlying customer complaint was factually impossible or clearly erroneous. He also contended it was false. Therefore, he requested expungement of the customer complaint from his Central Registration Depository records.
RESPONDENT'S CONTENTIONS: Ameriprise also requested expungement of the complaint.
Result
The arbitrator recommended expungement of the customer complaint from Goldstein's Central Registration Depository records because it found that the claim was factually impossible or clearly erroneous and that the claim was false.
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