Facts

Claimant Lee Siegal Henderson filed an arbitration claim against respondent Morgan Stanley regarding respondent's investment-related sales practices.

CLAIMANT'S CONTENTIONS: Claimant requested expungement of the underlying arbitration form his Central Registration Depository records due to the fact that the allegations from the claim were factually impossible and clearly erroneous under FINRA Rule and also because the registered person was not involved with the alleged investment-related sales practice violations.

RESPONDENT'S CONTENTIONS: Respondent did not oppose the request.

Result

The arbitrator recommended expungement of all references of the arbitration claim on Henderson's CRD records.

Other Information

ARBITRATOR: Simeon B. Reimonenq Jr.