FINRA Expungement Lawyer for Financial Advisors, Stockbrokers and Financial Industry Professionals
Customer dispute information contained in the Financial Industry Regulatory Authority’s (FINRA’s) Central Registration Depository (CRD) and BrokerCheck website can have negative consequences for brokers regardless of whether the dispute was frivolous, settled amicably or rejected following an arbitration proceeding. This is particularly true of information contained in BrokerCheck, a free, searchable database easily accessible by anyone with an internet connection.
Few online searchers are sophisticated or diligent enough to investigate the allegations contained in customer dispute disclosures they find recorded in BrokerCheck. Claims against brokers are taken at face value, regardless of merit or outcome. Customer complaints in BrokerCheck suggest, at a minimum, a history of unsatisfied customers and, worse, intimations of trouble ahead for both potential customers and employers.
The FINRA U5 expungement lawyers of Wolper Law Firm can help. Call 800.931.8452 to get started immediately.
Attorney Matthew Wolper
Matt 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.
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