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The FINRA expungement process allows brokers, financial advisors, and other registered financial professionals to clear their names in response to unfounded or inaccurate allegations. Because the process can be challenging to navigate, particularly in light of recent amendments to FINRA’s expungement rules, it is advisable to work with an experienced FINRA expungement attorney. Navigating the […]

FINRA Rule 2080 allows FINRA-registered financial professionals (RFPs) or broker-dealer firms to expunge complaints lodged against them from the Central Registration Depository (CRD) system. CRD is a source of information accessible to the public through BrokerCheck. BrokerCheck is a unique and free tool that gives investors information involving regulatory actions, arbitrations and complaints, broker’s employment […]

The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization, a not-for-profit, non-governmental regulator for all broker-dealer firms and brokers that sell securities in the United States. FINRA protects investors by ensuring that broker-dealers and brokerage firms operate fairly and honestly. Brokers and FINRA-registered financial professionals often come to us when looking to settle a […]

Requesting Expungement in a FINRA Settlement Arbitration In the highly competitive financial world, any organization, manager, or owner must ensure that your business’s Central Registration Depository (CRD) doesn’t have negative customer complaints. If you are looking for FINRA settlement solutions, keep reading. Public investors often consult CRD through FINRA BrokerCheck before making investment decisions. The […]

Under FINRA Rule 2080, broker-dealer firms, offices, and professionals in the securities industry can request customer disputes be expunged from FINRA’s public records. When reputation is so important to client trust and retention, expungement is a no-brainer. But FINRA has high standards of review and a limited appeals process to challenge decisions – you must […]

If you have an inaccurate or defamatory customer dispute on your firm’s FINRA Central Registration Depository (CRD) record, you can ask the agency for expungement. But what happens after you submit a FINRA expungement waiver request? Under FINRA’s policies, expungement is an “extraordinary remedy” that’s appropriate in only limited cases. In order to successfully win […]

If you have customer complaints or adverse disclosures reported on your FINRA Central Registration Depository (CRD) against you, those CRD disclosures can seriously hurt your reputation in the securities industry. FINRA CRD complaints may involve claims of sales practice violations, forgery, theft, or misappropriation or conversion of funds. In this article, we take a look […]