FAQs About FINRA’s Expungement Request Process for Financial Advisors
FINRA’s recently enacted rule changes to the expungement request process may still be confusing for financial advisors. Working with a knowledgeable securities law attorney is the best way to make informed decisions with greater certainty.
Your Updated Guide to the FINRA Expungement Request Process
Financial advisors who are hoping to have baseless customer dispute information removed from the CRD can seek an expungement request through FINRA. The recently enacted rule changes can complicate the process, so working with a trusted securities law attorney is recommended.
