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PPC Expungement Page

FINRA Expungement 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.

What many financial advisors and registered representatives do not appreciate is that every sales practice complaint made against them is reportable and that the employing brokerage firm has virtually no discretion when making a determination if a sales practice complaint should be reported.

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]