Mark Robert Fasano v. UBS Financial Services Inc.
Published: May 10, 2019 | Result Date: Mar. 21, 2019 | Filing Date: Jul. 27, 2018 |Case number: FINRA: 18-02686 Arbitration – Expungement
Arbitrator
Attorneys
Claimant
William McClelland Montgomery
(Keesal, Young & Logan)
Respondent
Craig A. Vollono
(UBS Financial Services Inc.)
Facts
Mark Fasano filed an arbitration claim against UBS Financial Services Inc. in relation to a customer complaint.
Contentions
CLAIMANT'S CONTENTIONS: Fasano requested expungement of a customer complaint from his Central Registration Depository records because he contended the allegation was false. He contended that he sent a client a letter with a typographical error, which caused damages to the customer but he settled with respondent.
RESPONDENT'S CONTENTIONS: Respondent did not oppose the request for expungement.
Result
The arbitrator recommended expungement of the customer complaint.
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