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UB Greensfelder LLP

[Webinar] FINRA Expungement: The Differences Between Removing Employment Termination Disclosures and Removing Customer Complaints...

UB Greensfelder LLP on

Join Ulmer attorney Christopher D. Seps as he provides an update on FINRA’s current procedures and standards applicable to expungement of customer complaints and employment termination disclosures. He will also discuss...more

UB Greensfelder LLP

[Webinar] FINRA Expungement: Rule Changes and Updates - February 9th, 2:00 pm - 2:30 pm EST

UB Greensfelder LLP on

Join Christopher D. Seps as he discusses the rule changes that recently took effect related to FINRA’s expungement process, as well as proposed changes that will likely be approved and take effect in 2021. These changes...more

UB Greensfelder LLP

PIABA's Anti-Expungement Tirade Is Predictably Short On Facts

UB Greensfelder LLP on

Here is how PIABA’s one-track mind operates: in a Report it just issued, PIABA laments the frequency with which registered reps are able to get customer complaints expunged from their records. The sole reason for this, PIABA...more

Fox Rothschild LLP

Why treating customer complaint with therapeutic neglect always fails

Fox Rothschild LLP on

When faced with a customer complaining through a letter or email, it is human nature to try to appease the customer with a conciliatory response or no response at all. I have seen this “human nature” all too often when...more

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