FINRA Denies Brokerage Firm Against Former Broker
A FINRA arbitration panel has denied the claims of Paracap Group LLC, an Ohio based brokerage firm, against its previous employee, Charles R. Crowley, and has recommended the expungement of the Termination Explanation from Crowley’s U.5 registration record on BrokerCheck.
Crowley, as a minority shareholder of Paracap Group LLC, was engaged in a bitter dispute with his employer, involving the rights of minority shareholders. Paracap used this as a justification for terminating Crowley without justification.
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