Facts

Aaron Douglas Maurer filed an arbitration claim against RP Capital LLC relating to two customer disputes from his Central Registration Depository records.

CLAIMANT'S CONTENTIONS: Maurer requested expungement of the underlying claims from his Central Registration Depository records. With respect to the first claim, Maurer contended it was factually impossible or clearly erroneous. With respect to the second claim, Maurer contended he was not involved in the alleged investment related sales practice violation and that it was false.

RESPONDENT'S CONTENTIONS: RP Capital did not contest Maurer's request for expungement.

Result

The arbitrator recommended expungement of the underlying complaints from Maurer's record because the claim was factually impossible or clearly erroneous, and claimant was not involved in the allegations, respectively.