Christy Bieber has a JD from UCLA School of Law and began her career as a college instructor and textbook author. She has been writing full time for over a decade with a focus on making financial and ...
On April 12, 2023, the SEC approved FINRA’s proposed expungement overhaul, a process that started in earnest in December 2017. See Release No. 34-97294; File No. SR-FINRA-2022-024. The latest rule ...
Driven by concerns that it’s been too easy to for brokers to expunge consumer disputes from its records, FINRA is amending its procedures. Customer disputes and complaints from a broker’s disciplinary ...
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