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 ...

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 ...

A criminal record can cast a long shadow, impacting everything from employment opportunities to housing options. But what if you’ve paid your debt to society and want to move forward with a clean ...

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 ...

Finra is proposing to tighten the process for brokers to clear their records of customer disputes over concerns that too many checkered pasts are being wiped clean. Under a proposal submitted to the ...