Houston Expungement Lawyer

FINRA

As the Top Houston Expungement Lawyer, I can tell you that a party seeking an expungement in an arbitration proceeding should request expungement, preferably in their answer, counterclaim, or statement of claim. The arbitrators will decide whether to grant a request for expungement based on one or more of the three standards specified in Rule 2080.

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What Is Finra U4?

The Financial Industry Regulatory Authority (FINRA) Form U4 is a registration form registered representatives (also known as stockbrokers or financial advisors) must complete and submit to FINRA when they first register to work for a member firm. The form includes information about the registered representative’s background, employment history, educational experience, and any regulatory or legal actions against them. It also requires the representative to disclose bankruptcies, judgments, and liens. Once submitted, the information on Form U4 is made available to the public through FINRA’s BrokerCheck system.

Houston Expungement Lawyer Questions

What type of information is eligible for expungement under Rule 2080?

Rule 2080 pertains to customer dispute information. This information typically involves disputes between customers and member firms or their associated persons reported on Forms U4 or U5 in response to the Customer Complaint/Arbitration/Civil Litigation Disclosure question(s) and associated disclosure reporting page(s).
The requirements of Rule 2080 do not apply to information concerning intra-industry disputes between firms and associated persons with no customer party that typically has been reported on Form U5 in response to the Reason for Termination question or the Internal Review or Termination Disclosure questions and associated disclosure reporting page(s).
Under existing CRD policy, and consistent with the 1999 moratorium, FINRA may execute, without a court order, arbitration awards rendered in disputes between firms and associated persons that contain directives to expunge information other than customer dispute information, provided that the arbitration panel states that expungement relief is being granted because of the defamatory nature of the data.

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Houston Expungement Lawyer | Areas of Service

The Craighead Law Firm, PLLC is located in Houston, Texas, and represents clients throughout the Houston area and the State of Texas, including in Harris, Brazoria, Fort Bend, Montgomery, and Galveston counties.

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