SEC Approves New FINRA Expungement Rules
On April 12, 2023, the SEC approved long-anticipated changes to FINRA’s expungement rules that will make the expungement process more…
Read MoreExpungement
Proposed Updates to FINRA Expungement Rules
As part of its mission to protect investors, the Financial Industry Regulatory Authority (FINRA) gathers and discloses certain information about…
Read MoreFINRA Updates Expungement Rules
Changes to broker expungements in arbitration seemed imminent when FINRA first proposed new rule changes of the expungement process to…
Read MoreFINRA Withdraws Its Proposed Expungement Rule Changes
FINRA proposed a change to its expungement rules in the Fall of 2020, seeking to alter certain aspects of the…
Read MoreFINRA EXPUNGEMENT RULES UPDATE – FINRA’S RESPONSE TO PUBLIC COMMENTS
Expensive changes are coming to FINRA’s expungement request. Under revised, proposed rules submitted by FINRA, expungements requests soon will be…
Read MoreCalifornia FINRA Lawyers: FINRA Expungement Update – October 2017
As FINRA and the SEC make it a priority for the investing public to know as much about their investment…
Read MoreFINRA Expungement Update – Expungement Denied in Recent Case
A recent FINRA arbitration Award highlights how the new FINRA expungement rules cannot be circumvented […]
Read MoreFinra Amendment Makes U4 and U5 Expungements More Difficult
FINRA’s Board of Governors voted to implement several key regulatory changes for broker-dealers including one that will make it harder…
Read MoreFINRA Rule Would Prohibit Settlement Conditioned On Agreement Not To Oppose Expungement
The Financial Industry Regulatory Authority (FINRA) recently announced a new proposed rule that would prohibit member firms and registered representatives…
Read MoreFINRA Expungement- Virtually Guaranteed in Settled Cases
Good news for registered reps seeking to expunge customer complaints from their CRD records. A report recently issued by PIABA,…
Read More