A must read is the article in this quarter’ s The Neutral Corner, published by FINRA Dispute Resolution, and authored by John D. Nachmann, Esq., Deputy Chief Counsel, FINRA Registration and Disclosure. Mr. Nachmann’s article, “Limitations on the Types of Disclosure Events That May Be Expunged From the Central Registration Depository Through Arbitration,” provides a blueprint for those seeking expungement through arbitration. The article also offers a waring that, even if expungement is ordered, FINRA’s CRD may not be obligated to remove the material from the system. We encourage all those who are interested in expungement to read this informative article. See http://www.finra.org/web/groups/arbitrationmediation/@arbmed/@arbtors/documents/arbmed/p410646.pdf.
