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Category: Expungement

Financial Advisor Expungement: Past, Present & Future

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 […]