Jason Kenneth Diaz v. Golden State Wealth Management LLC, LPL Financial LLC
Published: Mar. 6, 2020 | Result Date: Jan. 17, 2020 | Filing Date: Apr. 18, 2019 |Case number: FINRA: 19-01066 Arbitration – Expungement
Arbitrator
Attorneys
Claimant
Tosh D. Grebenik
(FA Expungement LLC)
Respondent
Jon D. Kaplon
(LPL Financial LLC)
Facts
Jason Kenneth Diaz applied for expungement of Occurrence disclosures made by LPL Financial LLC, and Golden State Wealth Management LLC from registration records maintained at the Central Registration Depository.
Contentions
CLAIMANT'S CONTENTIONS: Claimant contended that respondents' disclosures contained information that was factually impossible and clearly erroneous pursuant to FINRA Rule 2080(b)(1)(A). Claimant further contended that respondents' disclosures concerning claimant were defamatory and false pursuant to FINRA 2080(b)(1)(C).
RESPONDENTS' CONTENTIONS: Respondent denied the contentions.
Result
Claimant's motion for expungement was granted with all hearing fees assessed to claimant.
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