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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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people settling a FINRA dispute

How Does FINRA Determine the Standards for Expungement of Customer Dispute Information?

By Christopher D. Warren / January 11, 2023
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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…

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finra settlement sign

How Do You Request Expungement if the Parties Settle the Arbitration?

By Jon-Jorge Aras / January 6, 2023
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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…

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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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What Findings Are Required for FINRA Expungement?

By Christopher D. Warren / December 13, 2022
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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…

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What Happens After You Submit a FINRA Expungement Waiver Request?

By Jon-Jorge Aras / December 7, 2022
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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…

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Sankeetha Selvarajah - Of Counsel

Warren Law Group Welcomes Sankeetha Selvarajah as Of Counsel

By Christopher D. Warren / November 15, 2022
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FOR IMMEDIATE RELEASE                                                      Contact: Katie Lenda Email: katie@warren.law Sankeetha Selvarajah: Of Counsel to Warren Law Group [NEW YORK, NEW YORK, November 2022] Warren Law Group is pleased to announce Sankeetha Selvarajah as Of Counsel to the firm. Sankeetha is a civil transactional attorney with an emphasis on general business law and mergers and acquisitions. She…

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Crypto Exchange Platform Charged by OFAC and FinCen

By Christopher D. Warren / November 1, 2022
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The US Department of the Treasury’s Office of Foreign Assets Control (OFAC) and Financial Crimes Enforcement Network (FinCen) announced that Bittrex, a cryptocurrency exchange, was fined $24 million for breaking U.S. sanctions. This is a record-high penalty that the government has imposed on a crypto business for violating sanctions. For over three years, Bittrex allowed…

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John J. Keenan - Partner

Warren Law Group Welcomes John Keenan as Partner

By Christopher D. Warren / October 19, 2022
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FOR IMMEDIATE RELEASE                                                      Contact: Katie Lenda Email: katie@warren.law John J. Keenan: Partner at Warren Law Group [NEW YORK, NEW YORK, October 2022] Warren Law Group is pleased to announce John Keenan as Partner of the firm. John has over 20 years of experience as an attorney, specializing in commercial litigation, international commercial litigation, entertainment law,…

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