Congressman Steven Horsford (July 19, 2021) - WASHINGTON, D.C. — Congressman Steven Horsford (D-NV-04) has introduced the End Double Taxation of Successful Consumer Claims Act, which would help…
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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Barron's (June 10, 2021) - Wall Street regulator Finra has temporarily withdrawn a proposal to change the process by which advisors can remove client complaints from their regulatory records.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…
Think Advisor (May 28, 2021) - The Financial Industry Regulatory Authority said Friday that it is has withdrawn from the Securities and Exchange Commission its rule filing establishing a special…
AdvisorHub (May 28, 2021) - The Financial Industry Regulatory Authority said it withdrew “temporarily” a proposal to reform the procedures to expunge brokers’ public records, which it had before the…
JD Supra (May 27, 2021) - I have been in a JAMS arbitration the last week or so, so thanks to Chris — Mr. Expungement — for his thoughts about PIABA’s study. – Alan
In a move that surprised nobody…
ThinkAdvisor (May 26, 2021) - Wells Fargo CEO Charles Scharf told senators Wednesday that the bank is in the process of removing “confidentiality restrictions in all types of customer arbitration…
FinancialPlanning (May 24, 2021) - With the SEC expected to approve the latest FINRA arbitration expungement reform this week, client attorneys released data that they argue shows the changes aren’t…