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
#94526
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