Why Wouldn’t my FINRA Expungement Go Through?

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

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

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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