A Customer Dispute is one of the few serious disclosures which CAN be expunged through FINRA’s streamlined Rule 2080 arbitration process. Our internal staff of attorneys and federally licensed Enrolled Agents are well-versed in the process of FINRA Rule 2080 – Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System.
Complete Expungement of Customer Disputes From:
Your U4 and U5
The Entire CRD System
If even one potential client chooses not to hire you because of the customer dispute on your BrokerCheck® profile, would you know? How much would that cost you?
FINRA is dead set on driving increasingly more traffic to BrokerCheck®. Because of the recently passed Rule 2210 amendment, on June 6, 2016, FINRA began enforcing the new requirement that “a readily apparent reference and hyperlink to BrokerCheck” be including on member firms’ homepages and “any other page that includes a profession profile of one or more registered persons who conduct business with retail investors.” See FINRA’s Regulatory Notice 15-50. If you are interested in discussing what is involved in obtaining a complete expungement of a customer dispute on your U4, call or email today for a no cost consultation.