Series 26: Expungement Of Customer Dispute Information

Expungement of Customer Dispute Information

FINRA records disciplinary information with respect to customer complaints and any resulting arbitration awards or court judgments in its Central Registration Depository system. It uses this information in making its licensing and hiring decisions and provides it for public dissemination to BrokerCheck.

If a broker-dealer’s management thinks an allegation against the firm is false, they may wish to have this in