Securities
Breach of Fiduciary Duty
Negligent Failure to Supervise
Karl Austin Pettijohn v. UBS Financial Services Inc.
Published: Nov. 12, 2016 | Result Date: Oct. 7, 2016 | Filing Date: Jan. 1, 1900 |Case number: 15-03363 Arbitration – Expungement
Court
FINRA
Attorneys
Claimant
Scott E. Rahn
(RMO LLP)
Respondent
William McClelland Montgomery
(Keesal, Young & Logan)
Facts
Claimant was a broker seeking expungement from his CRD record relating to an underlying arbitration involving a customer.
Contentions
CLAIMAINT'S CONTENTIONS:
Claimant contended that he was entitled to expungement because the underlying arbitration was directly a result of the failure of Lehman Brothers.
RESPONDENT'S CONTENTIONS:
Respondent did not oppose the request for expungement.
Result
The arbitrator recommended expungement.
#87112
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