Winning Strategies for Expunging Your FINRA Record Introduction Having a blemish on your FINRA record can have serious consequences for your career as a financial advisor. Such marks can affect your ability to gain new clients, secure employment opportunities, and maintain a positive reputation in the industry. However, there are strategies you can employ to […]
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 […]
As a registered representative, your professional reputation is paramount. Unfortunately, frivolous complaints can tarnish your record, affecting your career and client relationships. Understanding your options for removing such complaints is crucial. At Bakhtiari & Harrison, we are here to guide you through this complex process, including navigating FINRA Rule 2080 and recent changes in expungement […]
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 […]