Fewer Brokers are Seeking Expungement Requests After FINRA’s Rules Take Effect
For a little over a year, FINRA’s rule changes have reduced the number of expungement request filings. Learn more about the implications and discuss your concerns with an experienced securities law attorney today.
How FINRA’s Revised Rules Impact Special Arbitrators and Expungement Requests
When the SEC approved FINRA’s rule changes for the expungement relief process, new policies for specially-trained arbitrators were also activated. Here’s what they mean and how they could affect a financial advisor’s expungement relief request.
FINRA Updates FAQ Page to Reflect Newly Enacted Rules About Expungement of Customer Dispute Information
In light of the recently enacted revisions to FINRA’s rules regarding the expungement of customer dispute information process, FINRA launched an FAQ page addressing some common questions that have arisen since the rules went into effect.
