Securities
Expungement
Mark Robert Fasano, John Edward Orcutt, UBS Financial Services Inc. v. Mark Klein
Published: Mar. 22, 2014 | Result Date: Mar. 6, 2014 | Filing Date: Jan. 1, 1900 |Case number: 13-01973 Arbitration – Expungement
Facts
Mark Fasano, John Orcutt, and UBS Financial Services filed for arbitration against Mark Klein.
Contentions
PLAINTIFF'S CONTENTIONS:
The claimants argued that Fasano and Orcutt had not engaged in any fraudulent activities in connection with securities transactions in another dispute, filed by Mark Klein against them.
Result
The arbitration panel recommended the expungement of all references to the matter of Klein v. UBS Financial Services from Fasano and Orcutt's registration records. The panel concluded that they were not involved in any alleged investment-related sales practice violations.
Other Information
ARBITRATORS: Thomas E. Shuck, Annette Gres Shepherd and Andrea Luise Halperin
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