Series 24: 2.2.2.10. Expungement Of Customer Dispute Information

Taken from our Series 24 Online Guide

2.2.2.10. Expungement of Customer Dispute Information

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

Broker-dealers believing the allegations against them to be false may wish to have this information removed from FINRA Gateway a

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