Lacey Odis Patrick Corbett III, Robert F. Mason v. Fredrick A. Kish Jr.
Published: Sep. 29, 2012 | Result Date: Aug. 30, 2012 | Filing Date: Jan. 1, 1900 |Case number: 12-01175 Arbitration – Expungement
Court
FINRA
Attorneys
Claimant
Scott E. Rahn
(RMO LLP)
Respondent
Steven A. Sherman
(Ferguson, Praet & Sherman)
Facts
The claimants filed this claim seeking an order expunging the respondent's prior complaint (FINRA Arbitration Case No. 10-04563) from their Central Registration Depository Records. Specifically, the claimants requested a finding that the respondent's claims in that case were not accurate or false. Prior to initiating the proceeding, the parties came to an agreement which provided, in part, that respondents would not object to claimants' request for expungement.
Result
The arbitrator awarded claimants' requested relief and recommended the expungement of all reference to Kish expunged from the claimants' registration records.
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