FINRA's process for reviewing requests to expunge disciplinary records heavily favors advisors and their firms, who seek to delete client complaints and other violations from their online BrokerCheck ...

Driven by concerns that it’s been too easy to for brokers to expunge consumer disputes from its records, FINRA is amending its procedures. Customer disputes and complaints from a broker’s disciplinary ...

This is our second blog on the vanishing FINRA expungement process. FINRA identifies specific grounds for expungement in FINRA Rule 2080. Rule 2080(b)(1) provided three specific grounds for ...

On April 12, 2023, the SEC approved FINRA’s proposed expungement overhaul, a process that started in earnest in December 2017. See Release No. 34-97294; File No. SR-FINRA-2022-024. The latest rule ...

Attorneys will advise Evanston residents on the little-known legal service of clearing criminal records at the first Northern Cook County Informational Expungement Expo on May 21, according to a news ...

When an assistant prosecutor assigned to a particular matter is out sick on the date an arraignment or a status conference is scheduled, another assistant appears in court and handles the matter for ...

Sometime in August 2009, The Lawrence W. Davis Revocable Trust, which apparently appeared through Janice L. Davis, filed a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of ...