BrokerCheck Expungement Attorney
United States
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#BrokerCheck Expungement Attorney
BrokerCheck Expungement Attorney
FINRA Rule 2080, FINRA Rule 2081, FINRA Rule 12805 and FINRA Rule 13805 do not apply to intra-industry disputes, unless the information to be expunged involves customer dispute information. For example, a broker may request expungement of the reason for termination (e.g., failure to meet production standards) reported on his or her CRD record by a former employer. Because this request does not involve customer dispute information, arbitrators may recommend expungement of this information from the CRD system without addressing the standards set forth in FINRA Rule 2080 or the procedural requirements under FINRA Rule 12805 and FINRA Rule 13805.
FINRA Rule 2080, FINRA Rule 2081, FINRA Rule 12805 and FINRA Rule 13805 do not apply to intra-industry disputes, unless the information to be expunged involves customer dispute information. For example, a broker may request expungement of the reason for termination (e.g., failure to meet production standards) reported on his or her CRD record by a former employer. Because this request does not involve customer dispute information, arbitrators may recommend expungement of this information from the CRD system without addressing the standards set forth in FINRA Rule 2080 or the procedural requirements under FINRA Rule 12805 and FINRA Rule 13805.