Richard Maxey v. Valic Financial Advisors Inc., Brecek & Young Advisors Inc., Securities America Inc.
Published: Mar. 15, 2019 | Result Date: Jan. 11, 2019 | Filing Date: May 3, 2018 |Case number: FINRA: 18-01738 Arbitration – Expungement
Arbitrator
Attorneys
Claimant
Dochtor Kennedy
(AdvisorLaw LLC)
Owen Harnett
(HLBS Law)
Respondent
Chad E. Weaver
(Freeman, Mathis & Gary LLP)
for Securities America Inc.
Cora E. MacLean
(McElroy, Deutsch, Mulvaney & Carpenter LLP)
for Valic Financial Advisors
Facts
Richard Maxey filed an arbitration claim against Valic Financial Advisors Inc., Brecek & Young Advisors Inc., and Securities America Inc. in relation to two previously settled customer complaints that were reported in his Maxey's Central Registration Depository records.
Contentions
CLAIMANT'S CONTENTIONS: Claimant contended that both customer complaints were inaccurate.
RESPONDENTS' CONTENTIONS: Respondents denied the allegations.
Damages
Claimant requested that both customer complaints be expunged from his CRD records. Respondents requested that claimant's expungement request be denied.
Result
The Arbitrator recommended that references to both customer complaints be expunged from claimant's CRD records.
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