Friday , June 18 2021

FINRA arbitration expungement reform criticized by PIABA – Financial Planning

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 going far enough. The danger, they say, is that the ease of getting client complaints removed from brokers' records makes them harder for investors and regulators to assess adequately.Arbitrators granted broker expungement requests in 636 out of 700 decisions between August 2019 and October 2020, or 91% of the time, according to...


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