Garret Ray Morgan v. Securities America Inc.
Published: Dec. 27, 2019 | Result Date: Oct. 9, 2019 | Filing Date: Dec. 31, 2018 |Case number: FINRA: 19-00011 Arbitration – Claimant
Arbitrator
Attorneys
Claimant
Scott E. Rahn
(RMO LLP)
Matthew F. Baker
(RMO LLP)
Respondent
Chad E. Weaver
(Freeman, Mathis & Gary LLP)
Facts
Claimant Garret Ray Morgan filed an arbitration claim against respondent respondent Securities America Inc. seeking expungement of four customer disputes from his Central Registration Depository records.
Contentions
CLAIMANT'S CONTENTIONS: Claimant requested expungement of the underlying arbitration from his CRD records due to the fact that the allegations from the claim were factually impossible as was evidenced in Claimant's BrokerCheck Report.
RESPONDENT'S CONTENTIONS: Respondent did not oppose the request.
Result
The arbitrator recommended expungement of all references of the arbitration claim on Claimant's CRD records.
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