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PIABA: FINRA Arbitrators Grant Expungements 90% of the Time
PIABA urges FINRA to establish an Investor Advocate position to ensure valid customer complaints are not expunged from brokers CRDs.
The Financial Industry Regulatory Authority arbitrators grant expungement requests 90% of the time, according to a new analysis conducted by the Public Investors Advocate Bar Association (PIABA).
In the newly released report, PIABA and the PIABA Foundation argued the high rate of successful expungement requests stems from the structure of the proceedings and the frequent lack of any opposition. The association, which represents investors in securities-related arbitration and litigation, claimed that the regulatory agency must make it easier for interested parties who might oppose an expungement request, such as securities regulators and customers, to participate. ....

Lisa Braganca , Harry Meyer , David Meyer , Exchange Commission , Foundation Vice , Arbitration Evaluation Services , Financial Industry Regulatory Authority , Public Investors Advocate Bar Association , Investor Advocate , Central Registration Directory , Vice President Lisa , Arbitration Evaluation , லிசா பிரகாங்க , ஹாரி மேயர் , டேவிட் மேயர் , பரிமாற்றம் தரகு , அடித்தளம் துணை , நிதி தொழில் ஒழுங்குமுறை அதிகாரம் , பொது முதலீட்டாளர்கள் வழக்கறிஞர் மதுக்கூடம் சங்கம் , முதலீட்டாளர் வழக்கறிஞர் , துணை ப்ரெஸிடெஂட் லிசா ,