On February 14, 2014, WealthManagement.com ran Patrick Mahoney’s editorial, Both Costly and Ineffective?, as part of his periodic column, The Legal Rep. A link to the article is available HERE. This week FINRA’s Board of Directors authorized FINRA to seek comment on a proposed rule that would require firms to “include a readily apparent reference and link […]
Tag Archives: FINRA Rule 2080
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 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.
The first question brokers ask when contemplating whether or not to pursue expungement of an investor complaint from their publicly available Central Registration Depository (“CRD”) record is almost always, “What are the odds that I earn expungement?” Unfortunately, the answer to this question is an uninspiring, “It depends.” To contemplate why “it depends,” brokers must […]
