Simon Matthew Holford v. Merrill Lynch, Pierce, Fenner & Smith Inc.
Published: Apr. 5, 2019 | Result Date: Feb. 12, 2019 | Filing Date: Jun. 12, 2018 |Case number: FINRA: 18-02188 Arbitration – Expungement
Arbitrator
Attorneys
Claimant
Eric Litow
(HLBS Law)
Respondent
Patrick J. Mulligan
(Bressler, Amery & Ross PC)
Facts
Simon Holford asserted an arbitration claim against Merrill Lynch, Pierce, Fenner & Smith Inc. in relation to expungement of a customer complaint from his Central Registration Depository records.
Contentions
CLAIMANT'S CONTENTIONS: Holford contended that the customer complaint was false and factually impossible or clearly erroneous. Holford contended that he did not make any misrepresentations to the customer concerning the safety and liquidity of an investment.
RESPONDENT'S CONTENTIONS: Respondent did not contest the request for expungement.
Result
The arbitrator recommended expungement of the customer complaint because it found the claim was false.
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