On behalf of Lewitas Hyman PC | Aug 21, 2017 | Expungement Claims
Expungement is the removal of certain disclosure events on a registered representative’s record – primarily customer complaints and arbitrations, and in some instances employment termination explanations. Once a disclosure event is expunged, it is no longer accessible...
On behalf of Lewitas Hyman PC | Nov 10, 2016 | Expungement Claims, Financial News
A FINRA arbitration panel out of Louisville, Kentucky recently granted the request of former UBS registered representative Harry M. Hadden III (“Hadden”) to expunge eight (8) customer complaints from his Central Registration Depository (“CRD”) record related to the...
On behalf of Lewitas Hyman PC | Oct 10, 2015 | Expungement Claims, Financial News
The FINRA Board of Governors (the “Board”’) met in mid-September to discuss rulemaking items and initiatives. Among other issues, the Board authorized FINRA to file with the SEC proposed amendments to FINRA Rules 12805 and 13805 (Expungement of Customer Dispute...
