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Securities
Expungement

Mark Robert Fasano, UBS Financial Services Inc. v. Mary Floyd, James Floyd

Published: Jul. 4, 2014 | Result Date: Jun. 12, 2014 | Filing Date: Jan. 1, 1900 |

Case number: 13-03389 Arbitration –  Expungement Denied

Court

FINRA


Attorneys

Claimant

William H. Montgomery III


Respondent

Jacob H. Zamansky
(Zamansky LLC)


Facts

Mark Fasano and UBS Financial Services Inc. filed for arbitration against Mary and James Floyd.

Contentions

PLAINTIFF'S CONTENTIONS:
Fasano and UBS asserted that the allegations made against Fasano in a related FINRA case were false, and should be expunged from his registration records.

Result

The expungement request was denied.

Other Information

ARBITRATORS: Thomas E. Shuck, Robert B. Hansohn and Christopher J. Rogers.


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