Boca Raton FINRA Expungement Lawyer

If your record contains disclosures and other information that could be detrimental to your career as a financial advisor or stockbroker, a respected FINRA expungement lawyer in Boca Raton may be able to help you clear your name.

Not every financial advisor has the opportunity to have their record expunged. In fact, the Financial Industry Regulatory Authority (FINRA) only allows for expungement in very specific circumstances. If you believe that your record is incorrect or invalid, you may be able to initiate a request for an expungement.

The expungement process can be quite elaborate and specific. Having a dedicated Boca Raton FINRA expungement lawyer at Wolper Law Firm, P.A. on your side could expedite the process and help ensure that you are able to get back to work and reinstate your professional reputation more quickly.

Read on to learn more about what it takes to get your record expunged through FINRA and what to expect if expunction is approved.

How to Get Your Boca Raton Record Expunged Through FINRA

Having disclosures on your Central Registration Depository (CRD) and Brokercheck records can have a significant impact on your professional life. Not only could you have difficulty finding new employment, but your professional reputation could take a serious hit due to any false allegations or complaints. Fortunately, FINRA provides opportunities for you to clear your name.

In order to get your record expunged, you will need to petition FINRA and meet other specific requirements. It has become increasingly difficult to get records expunged in recent years. Some of the requirements for an expungement include:

  • The disclosure is factually impossible.
  • The disclosure is false.
  • The registered party was not involved in the complaint in question.

You can expect to attend an in-person hearing with a panel of FINRA arbitrators who will hear evidence regarding your case. If they determine that you meet the criteria for an expungement, this will then need to be confirmed in a summary court hearing.

Your Record Gets Expunged in Boca Raton; What’s Next?

Once FINRA has determined that your record should be expunged, your CRD and Brokercheck records will be cleared of the complaints in question and be unavailable for the public to see. This means that you will be able to get back to your life and begin rebuilding your professional reputation.

It is important to note that FINRA expungement only applies to the disclosures that you have petitioned to have expunged. If you have multiple disclosures on your records, other disclosures will still be publicly available unless those are expunged, as well. You can discuss the details with your Boca Raton expungement lawyer if there are multiple complaints that you would like expunged.

Contact a Reputable FINRA Expungement Lawyer in Boca Raton

If you are interested in getting help with your expunction request in Florida, reach out to an experienced Boca Raton FINRA expungement lawyer at Wolper Law Firm, P.A.. You can schedule a free claim review by giving our office a call at 800.931.8452 or filling out the quick contact form included below.

Attorney Matthew Wolper

Attorney Matthew WolperMatt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks. [Attorney Bio]