SEC Issues Order Involving Thomas Christophe Prentice
January 25, 2020
January 25, 2020
WASHINGTON, Jan. 25 -- The Securities and Exchange Commission issued the following order (No. 3-18894) involving Thomas Christophe Prentice:
ORDER SCHEDULING BRIEFS
Thomas Christophe Prentice filed an application for review of a FINRA decision denying his request to use FINRA's arbitration forum for a claim to expunge a prior adverse arbitration award from his Central Registration Depository record. Prentice sought arbitration for two claims--one to expunge a prior adve . . .
ORDER SCHEDULING BRIEFS
Thomas Christophe Prentice filed an application for review of a FINRA decision denying his request to use FINRA's arbitration forum for a claim to expunge a prior adverse arbitration award from his Central Registration Depository record. Prentice sought arbitration for two claims--one to expunge a prior adve . . .