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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 FINRA expungement award secured by David Harrison on behalf of a 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 a savings […]