Category Archives: FINRA Arbitration

FINRA Arbitration Jobs

FINRA arbitration jobs

There are several FINRA arbitration jobs available to professionals who have an interest in the FINRA arbitration process. This post discusses some of these jobs. Become a FINRA Arbitrator An arbitrator is a neutral party who oversees arbitration proceedings. They decide who wins the FINRA arbitration as a judge and jury decides a court case. […]

Column:”Petty Crimes on Broker Records – Can they be Expunged?” – As seen in

On November 22, 2013, ran Patrick Mahoney’s editorial Petty Crimes on Broker Records – Can they be Expunged?.  A link to the article is available HERE.   The article’s content is available below: FINRA rules require brokers to make extensive and often intrusive disclosures (vis-à-vis a broker’s Central Registration Depository (“CRD”) record) concerning their work and disciplinary […]