Securities
Expungement
Mark William Lininger v. RBC Capital Markets LLC
Published: Apr. 17, 2020 | Result Date: Feb. 4, 2020 | Filing Date: Jun. 27, 2019 |Case number: FINRA: 19-01831 Arbitration – Expungement
Facts
Claimant Mark Lininger sought expungement of a customer complaint from his Central Registration Depository records. The Underlying Complaint settled for $1,475,000 and the Arbitrator found that respondent RBC Capital Markets LLC settled to maintain client goodwill.
Contentions
CLAIMANT'S CONTENTIONS: Claimant alleged that the underlying complaint was false.
RESPONDENT'S CONTENTIONS: Respondent did not oppose the request for expungement.
Result
The Arbitrator recommended the expungement of the underlying complaint from his CRD record.
Other Information
ARBITRATORS: Morris S. Getzels.
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