FINRA's process for reviewing requests to expunge disciplinary records heavily favors advisors and their firms, who seek to delete client complaints and other violations from their online BrokerCheck ...

The prosecutor-led program continues her look into juvenile justice. It also continues a state-wide examination of the impact someone’s criminal past can have on housing and employment. Touting it as ...

Earlier this month, the SEC approved the first of several rule changes that FINRA has proposed for the process governing the expungement of customer complaints from a broker’s record. The approved ...

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 ...

LANSING, Mich. — Michigan Attorney General Dana Nessel joined a bipartisan coalition of 22 attorneys general urging Congress to provide federal funds for state systems and technology upgrades needed ...

This is our second blog on the vanishing FINRA expungement process. FINRA identifies specific grounds for expungement in FINRA Rule 2080. Rule 2080(b)(1) provided three specific grounds for ...

When an assistant prosecutor assigned to a particular matter is out sick on the date an arraignment or a status conference is scheduled, another assistant appears in court and handles the matter for ...

COLUMBIA - Thursday is the first day to petition for record expungements for marijuana offenses after the November passage of Amendment 3. However, Amendment 3's critics worry the expungement process ...

Some attorneys say expungement cases have sailed through the courts and that the process has been accessible. New state laws tell judges hearing expungement petitions that they must presume the case ...