Frank Feipang Auyeung v. Banc of America Investment Services Inc. et. al.
Published: May 24, 2019 | Result Date: Apr. 10, 2019 |Case number: FINRA: 18-01790 Arbitration – Expungement
Attorneys
Claimant
Eric Litow
(HLBS Law)
Owen Harnett
(HLBS Law)
Respondent
Geoffrey S. Beckham
(Wells Fargo Advisors LLC)
Randi P. Spallina
(Bressler, Amery & Ross PC)
Facts
Claimant Frank Auyeung brought a claim against Wells Fargo Clearing Services and Banc of America Investment Services for expungement of three customer disputes and two customer complaints.
Contentions
CLAIMANT'S CONTENTIONS: Claimant contended that the occurrences and allegations brought by the underlying customers were false and clearly erroneous. Claimant persistently urged all underlying customers to diversify their investments. However, customers did not listen to his advice.
RESPONDENT'S CONTENTIONS: Respondents participated in the expungement hearing and did not contest the request for expungement.
Result
The arbitrator found for the claimant and recommended expungement of all underlying claims.
Other Information
ARBITRATOR: Daniel M. Yamshon
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