Series 26: Expungement Of Customer Dispute Information

Taken from our Series 26 Online Guide

Expungement of Customer Dispute Information

FINRA records disciplinary information with respect to customer complaints and any resulting arbitration awards or court judgments in its Central Registration Depository system. It uses this information in helping to make its licensing and hiring decisions and provides it for public dissemination to BrokerCheck.

Broker-dealers believing the allegations against them to be false may wish to have this infor

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