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
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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