• 34 Willis Avenue, Suite 106, Mineola, NY 11501
  • 877-WELTZLAW (935-8952)
  • info@weltz.law

Expungement

We represent registered representatives in FINRA expungement proceedings to remove certain customer complaints and negative Form U-5 terminations from your CRD records.

Expungement

Notable Cases: FINRA Expungement

  • Obtained expungement for registered representative in product case. [FINRA 18-02998]
  • Obtained expungement for registered representative/advisor in employment disputes. [FINRA 17-06134]
  • Obtained expungement for investment advisors in suitability case.  [FINRA 16-03129]
  • Obtained expungement for registered representatives in trade dispute.  [FINRA 13-00468]
  • Obtained expungement for registered representatives in private placement case. [FINRA 13-03563]
  • Obtained expungement for registered representative of termination disclosure and customer complaint in alleged selling away case. [FINRA 10-02737]
  • Obtained expungement for registered representative in suitability case.  [NASD 00-02904]
  • Obtained expungement for registered representative in suitability case.  [NASD 00-05720]

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