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You settled the customer complaint years ago because it felt like the fastest way to make the problem disappear. Now that disclosure sits on your BrokerCheck record, and it’s costing you referrals, compliance scrutiny, and sleep. Here’s what most advisors get wrong: they assume FINRA expungement after settlement isn’t possible. It is. FINRA Rule 2081 […]
Your former firm won’t return your calls. Or worse, they’re actively fighting your FINRA expungement request. If you’re staring down a customer dispute on your CRD record with no help from the firm that employed you, here’s the answer: yes, you can still win. Firm cooperation can make a case easier, but it is not […]
David Harrison recently secured a FINRA expungement award on behalf of a registered representative terminated by Wells Fargo Clearing Services, LLC. The firm terminated the broker after a Wells Fargo Bank customer opened and then promptly closed a savings account. That termination created a CRD disclosure that significantly hindered his ability to find new work […]
A customer you barely remember files a complaint two years after the account closed. It gets resolved, the firm pays a small settlement to make it go away, and your name still ends up on BrokerCheck, possibly permanently, for an allegation no one ever proved. That disclosure now sits ahead of every job application, every […]
A FINRA 8210 AML investigation can put a stockbroker’s license, livelihood, and reputation on the line — often before the registered representative fully understands what regulators are actually looking for. If you have received a FINRA Rule 8210 request connected to anti-money laundering (AML) concerns, the answers you give about a customer’s source of funds, […]