FINRA expungement attorney
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  • FINRA CRD Expungement Explained

    January 31, 2016 Comments (0) Blog

    The following is an overview of the FINRA CRD Expungement process. A.   The Central Depository Registry The Financial Industry Regulatory Authority (“FINRA”) operates and maintains the Central Depository Registry (“CRD”) pursuant to its rules, and by agreement with the North American Securities Administrators

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  • Overview of Securities Employment Litigation

    July 12, 2012 Comments (0) Blog, Securities Fraud

    Licensed financial professionals, registered with FINRA, can face a variety of legal actions that can affect their ability to change jobs or even continue in their profession.  This post provides a quick summary of types of claims often made in the broker-dealer/financial advisor context and how the outcome of the

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