Lauren Ann Gidley v. First Allied Securities, Inc.
Published: May 24, 2019 | Result Date: Apr. 10, 2019 |Case number: FINRA: 18-02383 Arbitration – Expungement
Attorneys
Claimant
Tosh D. Grebenik
(FA Expungement LLC)
Respondent
Christina Z. Vourakis
(Winget, Spadafora & Schwartzberg LLP)
Facts
Laura Gidley filed an arbitration claim against First Allied Securities Inc. in relation to expungement of an occurrence on her Central Registration Depository records.
Contentions
CLAIMANT'S CONTENTIONS: Gidley requested expungement of a Form U5 occurrence and of relevant portions of a Form U4 from her registration records.
RESPONDENT'S CONTENTIONS: Respondent did not oppose the request for expungement.
Result
The arbitrator found that the subject of the claim was respondent's reason for terminating the employment of Gidley and it was a simple, truthful statement.
Other Information
ARBITRATOR: Gerald W. Hepp
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