FINRA Expungements: PIABA’s Press Release Recalls Mark Twain on Statistics
PIABA, the securities-investor plaintiff’s bar, issued an October 16th press release roundly criticizing industry self-regulatory rules allowing a broker to seek expungement of a customer-claim from...
View ArticleSEC Approves Amended FINRA Rule 2081 Prohibiting Settlements Conditioned on...
On July 22, the SEC approved amendments to FINRA Rule 2081 that prohibit member firms from conditioning arbitration settlements (or seeking to) upon a customer’s assent to CRD expungement relief. The...
View ArticleFINRA Expungements: PIABA’s Press Release Recalls Mark Twain on Statistics
PIABA, the securities-investor plaintiff’s bar, issued an October 16th press release roundly criticizing industry self-regulatory rules allowing a broker to seek expungement of a customer-claim from...
View ArticleSEC Approves Amended FINRA Rule 2081 Prohibiting Settlements Conditioned on...
On July 22, the SEC approved amendments to FINRA Rule 2081 that prohibit member firms from conditioning arbitration settlements (or seeking to) upon a customer’s assent to CRD expungement relief. The...
View Article
