JD Supra

FINRA’s Customer Dispute Expungement Regime: The Central Registration Depository And FINRA BrokerCheck

Over the past 20 years, FINRA has made it nearly impossible for brokers to expunge customer complaints and dispute information from their public records. Over the next three blogs, we will discuss the ...
Financial Planning

In major tech upgrade, FINRA promises to ease brokers’ compliance burden

FINRA plans to unveil a new user interface for its online central registration depository system on June 30. The system acts as a hub for information about brokers and their firms that consumers can ...
JD Supra

Memories Are Not Only For Songs And Broadway But Also FINRA Expungements

Although songs and Broadway musicals routinely call upon “memories” as inspiration, it usually is not the province for decisions in FINRA arbitrations. However, we were treated to a memory lesson in ...
Business Wire

PIABA Foundation Study Warns Out-of-Control FINRA Broker Expungement Process Is “Broken,” Urges Independent Investor Advocate

FINRA’s BrokerCheck and the state-FINRA Central Registration Depository (CRD) should carry a prominent warning that they are unreliable inasmuch as they do not include all customer complaints because ...