Author Archive: Thomas McCabe

Warren Law Group

Why Wouldn’t my FINRA Expungement Go Through?

By Thomas McCabe / January 26, 2023
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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…

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So Your FINRA Expungement Got Approved. What Next?

By Thomas McCabe / December 16, 2022
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If you have an inaccurate or erroneous customer dispute on your broker’s record, getting it expunged is a no-brainer. But the FINRA expungement process isn’t easy. In fact, the agency calls expungement an “extraordinary remedy” to be used only in limited cases. But let’s say you brought on an experienced legal team who helped you…

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Proposed New Changes to the FINRA Rule 2080 Expungement Process

By Thomas McCabe / October 26, 2022
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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…

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On-The-Record: Survival Tips for Witnesses

By Thomas McCabe / February 2, 2022
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Thomas McCabe & Christopher Warren A securities self-regulatory organization (“SRO”), like the Financial Industry Regulatory Authority (“FINRA”), has invited you to give on-the-record testimony (“OTR”) in connection with a pending inquiry, investigation, or disciplinary proceeding. You may be a target or one of many targets. You may be viewed by the SRO’s Examiners/Investigators (the “Examiners”)…

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