PIABA Issues Updated Expungement Report
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By George H. Friedman, SAA Publisher & Editor-in-Chief

On the heels of the October 16 effective date of a number of rule amendments affecting the expungement of customer dispute information,

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A Primer on Future Expungement Procedure
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By Harry A. Jacobowitz, Esq.

October 16, 2023, the effective date of a number of rule amendments affecting the expungement of customer dispute information,

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FINRA Issues Long-Awaited Regulatory Notice in the Highly Restrictive 2023 Expungement Rule Changes
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By Harry A. Jacobowitz, Esq.

The Notice announces an effective date of October 16, 2023 for the new, restrictive rules, beginning a countdown for the last chance to preserve the opportunity to expunge many customer complaints from the Central Records Depository (CRD).

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SEC Revamps FINRA’s Expungement Procedures
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By David E. Robbins[1]

Since the February 23, 2023 publication in Securities Arbitration Alert of my article “FINRA’s New Expungement Rules – Balancing Interests But Adding Roadblocks,” FINRA filed amendments to those rules and the Securities and Exchange Commission (“SEC”) approved FINRA’s major “modification” to “the current process relating to the expungement of customer dispute information.”[2]   This article explains just what the SEC has approved and the implications for financial advisers seeking such “extraordinary relief.”

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FINRA’s New Expungement Rules – Balancing Interests But Adding Roadblocks
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By David E. Robbins[1]

Assuming  SEC approval, FINRA’s significant changes to its expungement procedures will be implemented some time this year.

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New York State Court Refuses to Countenance End Run Around FINRA DRS Expungement Denial
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By Harry A. Jacobowitz, Esq.***

A broker’s attempt to vacate an unfavorable New York arbitration decision through forum shopping in Colorado and an effectively uncontested vacatur proceeding,

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