Charles Schwab & Co. Inc. v. Charles W. Ott, as trustee and sole beneficiary of the MBO Insurance Brokers Inc. profit sharing plan FBO Charles W. Ott
Published: Oct. 20, 2012 | Result Date: Sep. 19, 2012 | Filing Date: Jan. 1, 1900 |Case number: 12-01083 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. Inc. filed a complaint against Charles Ott, as trustee and sole beneficiary of the MBO insurance Brokers Inc. profit sharing plan FBO Charles Ott, requesting expungement of Richard Zak's record relating to a FINRA case.
Result
The Panel recommended expungement of Zak's records upon finding that Zak was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation, or conversion of funds.
Other Information
ARBITRATORS: Sterling N. Frost, Helen M. Blohm, James R. Dickson.
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