In the Media

Barron's (June 10, 2021) - Wall Street regulator Finra has temporarily withdrawn a proposal to change the process by which advisors can remove client complaints from their regulatory records. Finra…
JD Supra (June 3, 2021) - On September 22, 2020, FINRA sent proposed rule changes designed to overhaul the expungement process to the SEC for approval. On Friday May 28, 2021 – the same day the SEC…
AdvisorHub (June 1, 2021) - A Financial Industry Regulatory Authority arbitrator granted a 20-year UBS Wealth Management USA broker in South Carolina expungement of a 2019 complaint related to the…
Financial Advisor (June 1, 2021) - In the face of mounting criticism from investor attorneys, the Financial Industry Regulatory Authority announced Friday it was temporarily withdrawing its plan to…