Gal Sherman v. Equity Services Inc.
Published: Dec. 20, 2019 | Result Date: Oct. 10, 2019 | Filing Date: Feb. 18, 2019 |Case number: FINRA: 19-00518 Arbitration – Claimant
Arbitrator
Attorneys
Claimant
Stephan Louviere
(Wolper Law Firm)
Respondent
Derek C. Anderson
(Winget, Spadafora & Schwartzberg LLP)
Facts
Claimant Gal Sherman filed an arbitration claim against respondent respondent Equity Services Inc. seeking expungement of customer disputes from his Central Registration Depository record, regarding customer complaints about non-traded Real Estate Investment Trust maintained by Wells Real Estate funds Inc.
Contentions
CLAIMANT'S CONTENTIONS: Claimant requested expungement of the underlying arbitration from his CRD records due to the fact that the allegations from the customer claims were factually inaccurate and insubstantial.
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.
For reprint rights or to order a copy of your photo:
Email
jeremy@reprintpros.com
for prices.
Direct dial: 949-702-5390