A FINRA arbitration panel recommended the expungement of a customer complaint relating to allegedly unsuitable investments in oil and gas investments that declined during the early months of the COVID-19 pandemic.  

A FINRA arbitration panel granted a financial advisor and his supervisor’s motion to dismiss a FINRA arbitration on the basis that the Claimant previously brought multiple claims regarding the same securities related dispute against the broker-dealer, who was not a party to this arbitration.  

A FINRA arbitration panel recommended the expungement of two separate customer complaints from a financial advisor’s public record.  Both complaints involved allegedly unsuitable sales of alternative investments.

A FINRA arbitration panel recommended the expungement of a customer complaint from a financial advisor’s public record.  The complaint involved an allegedly unsuitable sale of an equity indexed annuity with a nine-year surrender period.