Ryan P. Friel,left, and Samuel E. Cohen,right, of Marshall Dennehey Warner Coleman & Goggin. Courtesy photos FINRA Proposal Creates Urgency for Brokers Seeking Expungement of Customer Complaints
With the SEC's approval of arguably the most sweeping changes ever to FINRA expungement rules, brokers will soon be faced with even greater difficulty when seeking to expunge their records of career-damaging customer complaints.
May 04, 2023 at 09:23 AM
6 minute read
A proposal from the Financial Industry Regulatory Authority (FINRA) designed to make it more difficult for securities brokers to expunge customer disputes from their publicly available records received approval from the U.S. Securites and Exchange Commission (SEC) on April 12.
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