You Sure They Settled That FINRA Arbitration? Really? Why?

Singer discusses the case filed in the Financial industry Regulatory Arbitration Statement of Claim that accused Aaron Berkowitz of fraud, breach of contract, and negligence in connection with alleged misconduct involving unspecified securities. Respondent Morgan Stanley Smith Barney generally denied the allegations, asserted various affirmative defenses, and requested an expungement of this arbitration from the Central Registration Depository records of unnamed party Donald Nowak, its associated person.