Ryan David Gordon v. UBS Financial Services Inc.
Published: Apr. 5, 2019 | Result Date: Feb. 7, 2019 | Filing Date: Jul. 9, 2018 |Case number: FINRA: 18-02476 Arbitration – Expungement
Arbitrator
Attorneys
Claimant
Michael J. Bessette
(HLBS Law)
Respondent
Samantha D. Parrish
(Keesal, Young & Logan)
Facts
Ryan Gordon asserted an arbitration claim against UBS Financial Services Inc. in relation to expungement of a customer complaint from his Central Registration Depository records.
Contentions
CLAIMANT'S CONTENTIONS: Gordon requested expungement of a customer complaint because he contended the allegation was false. Gordon contended that he played no part in the events that led to the complaint.
RESPONDENT'S CONTENTIONS: Respondent did not oppose the request for expungement.
Result
The arbitrator recommended expungement of the complaint because it found the allegation was factually impossible or clearly erroneous.
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