David Harrison, a distinguished attorney now affiliated with FINRA securities arbitration firm of Bakhtiari & Harrison, recently secured a significant victory in a FINRA arbitration case involving the expungement of a customer dispute from a registered representative’s BrokerCheck records. This case underscores the importance of robust legal representation in protecting the professional reputations of financial advisors.
The arbitration victory is particularly noteworthy because the customer actively contested the expungement request. The customer not only submitted written statements opposing the expungement but also participated in the evidentiary hearing, presenting documents and testimony to support his position. Despite these challenges, Mr. Harrison effectively demonstrated that the customer’s claims were factually impossible and clearly erroneous.
The case revolved around allegations that the registered representative failed to provide accurate fee details associated with certain investment funds. However, the arbitrator found that the customer had been informed of the correct fees and that the claims against the representative were false.
“We are thrilled with this outcome,” said David Harrison. “This decision not only clears the advisor’s professional record but also reinforces the integrity of the arbitration process in providing fair and just resolutions. It is a testament to our commitment to vigorously representing our clients and ensuring their reputations remain untarnished.”
Mr. Harrison’s successful representation in this challenging case highlights his expertise and dedication to protecting his clients’ careers. The arbitrator’s decision to grant the expungement was based on clear evidence that the representative was not involved in the alleged misconduct and that the claims were unfounded.
If you are a registered representative considering expunging a disclosure on your BrokerCheck, it is crucial to have experienced legal representation. Contact Bakhtiari & Harrison to discuss your case and explore your options for clearing your professional record.