Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2017, Claimant Sabota sought an expungement from his Central Registration Depository record (“CRD”) of three customer complaints involving the:transfer of an account between brokerage firms, selection of sub-accounts in a variable annuity, and selling away involving an employee under Claimant’s management.Claimant Sabota… [read post]