MH&H Prevails In FINRA Arbitration Hearing To Expunge Customer Complaints
Moritt Hock & Hamroff prevailed in a FINRA Arbitration resulting in the expungement of two separate customer complaints against our client, a financial advisor at a major investment banking and brokerage firm. Two separate complaints were lodged against our client which were ultimately reported on his Central Registration Depository (“CRD”) and in his FINRA records. We commenced an arbitration proceeding on behalf of our client to expunge those customer complaints. After a full-day arbitration hearing, we obtained an award finding that both customer complaints were factually impossible and demonstrably false, and directing that the complaints be expunged from our client’s CRD and his FINRA records.
Practice AreasCorporate, M&A & Securities