ThinkAdvisor (October 25, 2023) By Ryan W. Neal
What You Need to Know
Brokers' requests to expunge client complaints from their public records are granted at an astonishing rate, the lawyers' group…
PIABA Newsroom
In the Media
Financial Advisor IQ (October 25, 2023) By Jake Martin
An investor advocacy group is urging state securities regulators to pool their resources to participate in and oppose brokers’ expungement…
Finance Feeds (October 25, 2023) By Rick Steves
A study, which analyzed 2,506 “straight-in” expungement awards—cases where brokers seek the removal of customer complaints against their own firms—…
MSN via Barron's (October 24, 2023) - Financial advisors can too easily erase customer complaints from official records, but new regulatory reforms may finally add safeguards to a process that has…
Barron's (October 2023) - Financial advisors can too easily erase customer complaints from official records, but new regulatory reforms may finally add safeguards to a process that has been abused,…
AdvisorHub (October 24, 2023) - A group of plaintiff lawyers is seeking to capitalize on reforms put in place this month by the Financial Industry Regulatory Authority to curtail the sky-high success…
WealthManagement (October 24, 2023) - But a new FINRA rule making it easier for state regulators to oppose expungements could solve some long-standing problems.
The Financial Industry Regulatory…
Mondovisione (October 24, 2023)
Requests for the expungement of customer complaints against their investment brokers were granted at an astonishing rate of 90% according to a new report on FINRA…
Insurance Newsnet (October 25, 2023) By Doug Bailey
A nearly 10-year campaign by investor advocates to prevent widespread erasure of consumer complaints from regulator databases has made recent…
Financial Planning (October 24, 2023) By Dan Shaw
An investors' rights group finds that FINRA arbitration panels are about three times less likely to purge brokers' disciplinary records if they're…