By David E. Robbins[1]
Assuming SEC approval, FINRA’s significant changes to its expungement procedures will be implemented some time this year.
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,
By George H. Friedman, SAA Publisher & Editor-in-Chief
The comment period closed December 7 on FINRA’s proposed changes to its expungement rule filing.
By George H. Friedman, SAA Publisher & Editor-in-Chief
Those who thought we were nearing the end of the road for FINRA’s proposed changes to the expungement process need to rethink their assumptions.
By George H. Friedman, SAA Publisher & Editor-in-Chief
The comment period closed earlier this month on FINRA’s proposed changes to the expungement process.
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA staff this week followed up on recent Board approval to file a new expungement rule.