The Financial Industry Regulatory Authority arbitrators grant “straight-in” expungement requests 90% of the time, according to an updated study released Tuesday by the Public Investors Advocate Bar ...
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 ...
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 ...
NASAA says Finra's modifications don't do enough to make it harder for brokers to clear customer disputes from their records. By Mark Schoeff Jr. State securities regulators continue to oppose a Finra ...
Add Yahoo as a preferred source to see more of our stories on Google. Apr. 16—TRAVERSE CITY — More northern Michiganders could be able to find work following a state law which automatically sets aside ...
Shelby County's criminal court clerk will soon implement a new process to automatically expunge certain cases for county ...
CRANSTON, R.I. (WPRI) — R.I. Attorney General Peter Neronha hosted an expungement clinic Thursday evening in hopes of giving some Rhode Islanders a second chance. The expungement clinic was an ...
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