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.
By Harry A. Jacobowitz, Esq.*
In a timely move, the Alabama Securities Commission (“ASC”) raises serious questions about the procedure employed in a recent FINRA expungement proceeding,
By George H. Friedman, SAA Publisher & Editor-in-Chief
Although Credit Suisse is held liable for negligent supervision, the Arbitrators nonetheless recommend expungement of the claimant broker’s record (who was “unnamed” in the sense that he was not named as a party in the underlying arbitration).
By George H. Friedman, SAA Publisher & Editor-in-Chief
It’s been a while since FINRA temporarily withdrew its expungement rule change proposal. We thought it was time to check in.
By George H. Friedman, SAA Publisher & Editor-in-Chief
On the last day for SEC review of FINRA’s latest proposal for improving the expungement process,