Charles Schwab & Co. Inc. v. Karen Fann Townsend Trust, Karl Townsend
Published: Feb. 9, 2013 | Result Date: Jan. 23, 2013 | Filing Date: Jan. 1, 1900 |Case number: 12-02430 Arbitration – Expungement
Court
FINRA
Attorneys
Claimant
Patrick R. Mahoney
(Law Offices of Patrick R. Mahoney PC)
Respondent
Thomas D. Mauriello
(Mauriello Law Firm APC)
Facts
Charles Schwab & Co. filed an arbitration matter against the Karen Fann Townsend Trust, requesting an order of expungement of Steven Melen's CRD Record as related to FINRA case No. 10-02880.
Respondents took no position in support of or in opposition to the action.
Result
The panel recommended the expungement of all references to FINRA case No. 10-02880 from Steven Melen's registration records. The panel found that Melen was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation, or conversion of funds.
Other Information
ARBITRATORS: Sterling N. Frost, D. Peter Gleichenhaus, James R. Dickson.
For reprint rights or to order a copy of your photo:
Email
jeremy@reprintpros.com
for prices.
Direct dial: 949-702-5390