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Category BrokerCheck

Financial Advisor Expungement: Past, Present & Future

July 26, 2018

The procedure for expungement before the Financial Industry Regulatory Authority (FINRA) has undergone many changes in the last twenty (20) years.  In December 2017, FINRA released FINRA Regulatory Notice 17-42, proposing additional changes to the customer dispute expungement process that, if approved, will make it incrementally more difficult for Financial Advisors to rid their disclosure…

Now is the time to talk to an investment loss recovery lawyer. We can help recover your investment loss. Free consultations, always.
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