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Securities
Expungement

Mark Robert Fasano, UBS Financial Services Inc. v. Richard Doretti

Published: May 24, 2014 | Result Date: May 1, 2014 | Filing Date: Jan. 1, 1900 |

Case number: 13-02889 Arbitration –  Expungement

Court

FINRA


Attorneys

Claimant

William McClelland Montgomery
(Keesal, Young & Logan)


Respondent

Jacob H. Zamansky
(Zamansky LLC)


Facts

Mark Fasano and UBS Financial Services Inc. filed for arbitration against Richard Doretti.

Contentions

PLAINTIFF'S CONTENTIONS:
The claimants sought expungement of Fasano's Central Registration Depository records, related to his role in the matter Doretti v. UBS Financial Services Inc.

Result

The arbitration panel recommended the requested expungement.

Other Information

ARBITRATORS: Gary Timothy Haight, John B. La Rue and Christine A. Page


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