If you’re a broker facing customer dispute information, you need expert help. At Bakhtiari & Harrison, we represent individuals seeking FINRA expungement. We help clear false claims from your record in the Central Registration Depository (CRD). Expungement can make a significant difference in your career. Why Expungement is Important Customer complaints about alleged investment-related sales […]
As a FINRA-registered representative, it’s crucial to understand when a customer complaint necessitates a disclosure and when it does not. Many firms, unfortunately, adopt a blanket policy of filing a disclosure for every complaint received, without considering whether it meets the specific criteria set by FINRA Rule 4530 and Form U4. This over-cautious approach can […]
We are pleased to share the news of a recent triumph by David Harrison, in sucessfully secured a FINRA Award for a broker-dealer registered representative expunging a CRD Disclosure filed by Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC terminated the broker because a Wells Fargo Bank customer opened and then promptly closed […]
The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors approved a rule proposal that would prohibit firms and associated persons from conditioning settlements of customer disputes on, or otherwise compensating customers for, an agreement not to oppose a request to expunge information from an associated person’s Central Registration Depository (CRD) record. […]