Category Archives: FINRA Expungement
Mar
(EDITOR’S NOTE: The FINRA expungement process changes described in this post will soon take effect. When they do, it will be even more difficult to remove meritless disclosures from BrokerCheck. CONTACT US TO ASSESS YOUR EXPUNGEMENT CASE FINRA’s Imminent Changes to Expungement Last year, FINRA moved closer to finalizing several proposed rules to change the […]
On December 11, 2013, WealthManagement.com ran Patrick Mahoney’s latest editorial, FINRA’S Proposed Changes to the Broker Expungement Process, as part of his periodic column, The Legal Rep. A link to the article is available HERE. The article’s content is available below: In April 2012, FINRA released Regulatory Notice 12-18, which features FINRA’s proposed overhaul of […]
On November 22, 2013, WealthManagement.com 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 […]
On August 19, 2013, InvestmentNews magazine ran an Op-Ed concerning broker expungement authored by Patrick Mahoney. The article is available HERE and a preview of it is below.
