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FINRA Expungement Expert Witness: A Primer on Expungements Through FINRA Arbitration Process

By: Daniel Mattei   Learn how and why FINRA expungement expert witnesses can assist in investor expungement proceedings in front of an arbitration panel. I.               Introduction: The CRD and BrokerCheck The Central Registration Depository (“CRD”), is a database maintained by the Financial Industry Regulatory Authority (“FINRA”). The CRD contains information about securities firms and individual… read more

FINRA Expert Witness: What FINRA is and how it helps to resolve investor/financial adviser disputes

By Thomas G. Taliaferro, CIMA The Financial Industry Regulatory Authority—FINRA—was established in 2007 as a combination of the National Association of Securities Dealers—NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange. Contrary to popular belief, FINRA is not an agency of the federal government. It is a private, non-profit… read more

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