BrokerCheck Expungement

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FINRA and State participation in the court confirmation proceeding is an additional safeguard to ensure that courts are aware of the standards of FINRA Rule 2080 and relevant regulatory and investor protection interests. There is currently no procedure in place to ensure that courts are made aware of the investor protection, public policy, and regulatory considerations implicated by expungement of customer dispute information. Although courts are not obligated to adhere to the standards enunciated in FINRA Rule 2080, the Rule gives FINRA and the States the opportunity to participate in the court confirmation process and make courts fully aware of investor protection and regulatory concerns relating to inappropriate expungements.

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