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    • Jeffery M. Sorensen v. Transamerica Financial Advisors Inc.

    May 17, 2019
    Verdicts and settlements
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    Securities
    Expungement
    CRD Records

    Jeffery M. Sorensen v. Transamerica Financial Advisors Inc.

    Published: May 17, 2019 | Result Date: Apr. 1, 2019 | Filing Date: Aug. 23, 2018 |
    Case number: FINRA: 18-02979 Arbitration –  Expungement

    Arbitrator

    Joyce L. Hurley


    Attorneys

    Claimant

    Owen Harnett
    (HLBS Law)


    Respondent

    Susan D. Duff
    (Transamerica Financial Advisors Inc.)


    Facts

    Jeffery Sorensen filed an arbitration complaint against Transamerica Financial Advisors Inc. in relation to four customer complaints.

    Contentions

    CLAIMANT'S CONTENTIONS: Sorensen requested expungement of four customer complaints from his Central Registration Depository records.

    RESPONDENT'S CONTENTIONS: Respondent took no position on the request for expungement.

    Result

    The arbitrator recommended expungement of the customer complaints and found the claims were false.


    #131787

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