Case Law Alerts
Arbitrator dissents from reasoning behind expungement, but still grants expungement.
The panel made the following Rule 2080 affirmative finding of fact: the registered person was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation or conversion of funds. The dissenting arbitrator disagreed with the majority panel’s reasoning for making the Rule 2080 affirmative finding, but still concurred in recommending expungement.
Case Law Alerts, 1st Quarter, January 2016
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