Alaris F. Thorns IRA Rollover, Alaris F. Thorns Roth IRA, The Alaris Thorns Revocable Trust v. Crowell, Weedon & Co.
Published: Aug. 31, 2013 | Result Date: Aug. 14, 2013 | Filing Date: Jan. 1, 1900 |Case number: 12-04354 Arbitration – Expungement
Court
FINRA
Attorneys
Claimant
Respondent
Kasumi Takahashi
(Jones Bell Abbott Fleming & Fitzgerald LLP)
Facts
Alaris F. Thomas IRA Rollover filed an arbitration dispute with Crowell, Weedon & Co, alleging causes of action for breach of fiduciary duty, common law fraud, omission of material facts, professional negligence, failure to supervise, and violation of FINRA. The causes of action related to the claimants' investments in various securities.
Damages
The claimants sought compensatory damages of $135,767.
Result
The arbitration panel recommended the expungement of all references to the arbitration matter from the registration records of Steven Arrigo. Otherwise, it found that the claimant's claim and allegations were false.
Other Information
ARBITRATORS: Robert A. Lombardi, Robert D. Sussin and Theresa Y. Hu.
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