Expungements
Expunging false, defamatory, and erroneous disclosures may be critical to the successful continuation of an individual’s career or to a firm’s continued operations.
Our Expungement services include:
- Preparing demand letters to Broker-Dealers and RIAs to amend U5 language related to separation from employment
- Pursuing expungement of customer complaints on U4
- Pursuing expungement of employment disclosure on U5
- Post-expungement matter actions, including confirming the arbitration award in court and submitting the proper documentation to FINRA for removal of the expunged matter from an individual’s CRD
