Peter Edward Cunningham v. TD Ameritrade Inc.
Published: May 3, 2019 | Result Date: Mar. 22, 2019 | Filing Date: Feb. 21, 2018 |Case number: FINRA: 18-00719 (Master Consolidated Case Number) Arbitration – Expungement
Arbitrator
Attorneys
Claimant
Owen Harnett
(HLBS Law)
Eric Litow
(HLBS Law)
Respondent
Melanie L. Ronen
(Stradley Ronon Stevens & Young, LL)
Facts
Peter Cunningham filed an arbitration claim against TD Ameritrade Inc. in relation to customer complaints on his Central Registration Depository records.
Contentions
CLAIMANT'S CONTENTIONS: Cunningham requested expungement of a variety of customer complaints from his Central Registration Depository records because he claimed the allegations were factually impossible, clearly erroneous, false or he was not involved in the transaction.
RESPONDENT'S CONTENTIONS: Respondent took no position on Cunningham's request for expungement.
Result
The arbitrator denied expungement of two complaints. However, the arbitrator recommended expungement of five complaints.
Other Information
Consolidated with the following cases: Peter Edward Cunningham v. TD Ameritrade Inc., Subordinate Case Number: 18-00743; Peter Edward Cunningham v. TD Ameritrade Inc., Subordinate Case Number: 18-00767
For reprint rights or to order a copy of your photo:
Email
jeremy@reprintpros.com
for prices.
Direct dial: 949-702-5390