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Interesting Guidance from FINRA on Expungements

By Fox Rothschild on September 12, 2019
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Fines

FINRA has distributed a recording from a neutral workshop on expungement.  It was enlightening and only reinforced the fact that it is very difficult for anyone to obtain an expungement.  You can find the workshop at https://www.finra.org/arbitration-mediation/neutral-workshop-audio-and-video-files.

  • Posted in:
    Banking, Finance and Securities
  • Blog:
    Securities Compliance Sentinel
  • Organization:
    Fox Rothschild LLP

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