Aidikoff, Uhl & Bakhtiari files Securities and Exchange Commission comments on FINRA Rule 2081 regarding expungement
May 5, 2014
Aidikoff, Uhl & Bakhtiari partners, Philip M. Aidikoff and Ryan K. Bakhtiari, have filed comments with the Securities and Exchange Commission concerning proposed FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information). Proposed Rule 2081 seeks to add additional safeguards to the expungement process by prohibiting the conditioning of the settlement of […]
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FINRA board approves rule prohibiting conditioning settlements of customer disputes on a customer's agreement not to oppose expungement
February 15, 2014
The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors approved a rule proposal that would prohibit firms and associated persons from conditioning settlements of customer disputes on, or otherwise compensating customers for, an agreement not to oppose a request to expunge information from an associated person’s Central Registration Depository (CRD) record. […]
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