FINRA recently issued Notice to Members 17-42, which proposes sweeping changes to the process by which a securities broker may seek to expunge reference to a customer complaint from
Continue Reading FINRA Plans Major Changes to Expungement Rules
Where Government Policies and Business Realities Converge
FINRA recently issued Notice to Members 17-42, which proposes sweeping changes to the process by which a securities broker may seek to expunge reference to a customer complaint from…
Continue Reading FINRA Plans Major Changes to Expungement Rules