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Articles Posted in Expungement Hearings

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FINRA Publishes Notice to Arbitrators and Parties Regarding Expungement Procedures

In September 2017, the Financial Industry Regulatory Authority updated a previously published Notice related to FINRA Rules 12805 and 13805, which “establish procedures that arbitrators must follow before recommending expungement of customer dispute information related to arbitration cases from a broker’s Central Registration Depository (CRD®) record.”  When details are expunged…

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