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.
What FINRA’s Latest Arbitration Case Filings and Trends Could Mean For 2024
Between January and November of 2023, FINRA saw a 30 percent increase in arbitration case filings compared to the previous year. Intra-industry claims rose by 63 percent, while customer-initiated claims increased by 12 percent. This growth is expected to continue throughout 2024 and beyond.
