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 ...

Earlier this month, the SEC approved the first of several rule changes that FINRA has proposed for the process governing the expungement of customer complaints from a broker’s record. The approved ...

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 ...

A state’s attorney in South Dakota is looking to help those who were arrested at one point but never formally charged or had the charges dismissed clear their names. Beadle County State’s Attorney ...

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 ...

LANSING, Mich. — Michigan Attorney General Dana Nessel joined a bipartisan coalition of 22 attorneys general urging Congress to provide federal funds for state systems and technology upgrades needed ...

Some attorneys say expungement cases have sailed through the courts and that the process has been accessible. New state laws tell judges hearing expungement petitions that they must presume the case ...

LOUISVILLE, Ky. (WHAS11) – A new Metro Council program is helping people get a fresh start after a criminal conviction. The council has partnered with the Public Law Library to create the program to ...