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The FINRA rule would have made several changes to the broker expungement process, including establishing "specialized arbitration panels" for such requests. ....
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. ....
The S.E.C. and Congress are asking questions about the Game Stop frenzy that has all eyes on Wall Street. Congressional and U.S. Senate committees on financial industry oversight now plan to have hearings on the matter. ....