Expungement

News & Analysis as of

The Regulators Are Coming! The Regulators Are Coming!

Regulators, in-house lawyers and compliance officers told a serious cautionary tale at the recent Practicing Law Institute Broker-Dealer Regulation and Enforcement seminar. Representatives of the Securities and Exchange...more

Expungement of Unauthorized Filings Under 37 CFR § 42.7(a)

MotivePower, Inc. v. Cutsforth, Inc. - In a sua sponte order concerning an inter partes review (IPR) proceeding, the U.S. Patent and Trademark Office’s Patent Trial and Appeal Board (Board) expunged from the record in...more

Applicants & Employees Can Refuse to Disclose Expunged Criminal Records Under New Louisiana Law

A new Louisiana law that took effect on August 1 serves to prevent employers from inquiring into an applicant’s or employee’s expunged criminal records. The law does provide for certain exceptions such as where the position...more

New Jersey’s New “Ban the Box” Law

Implications of the “Opportunity to Compete Act” on Criminal Background Checks by Employers and the Continuing Need for Prospective Employees to Obtain Expungements....more

Defeating Indefiniteness Challenge with Petitioner’s Witness

In eBay Inc. v. Lockwood, CBM2014-00025, Paper 34, CBM2014-00026, Paper 35 (August 12, 2014) the Board denied eBay’s motion to expunge the declaration of its expert, directed to unpatenability of the prior art, which eBay...more

SEC Approves FINRA Rule To Prohibit Conditioning Customer Settlements On Expungement

On July 23, FINRA announced that the SEC approved a new rule prohibiting FINRA-supervised firms and registered representatives from conditioning settlement of a customer dispute on—or otherwise compensating a customer for...more

SEC Approves FINRA Rule Limiting Expungement

On July 22, the Securities and Exchange Commission authorized the Financial Industry Regulatory Authority, Inc. to implement FINRA Rule 2081 prohibiting brokers from conditioning settlement of customer complaints on (or...more

SEC Approves Rule Preventing Barters for Expungement Cooperation – What You Can Do to Ensure Compliance

On July 22, the U.S. Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority’s (FINRA) proposed Rule 2081, which prevents firms or associated persons from conditioning settlement or...more

SEC Approves Amended FINRA Rule 2081 Prohibiting Settlements Conditioned on Expungement

On July 22, the SEC approved amendments to FINRA Rule 2081 that prohibit member firms from conditioning arbitration settlements (or seeking to) upon a customer’s assent to CRD expungement relief. The Rule amendments prohibit...more

Alabama’s New Law Permits the Expungement of Criminal Records

In April of 2014, the Alabama legislature approved a measure that permits the expungement of the criminal records of persons charged—but not convicted—of misdemeanors or nonviolent felonies. Governor Robert Bentley signed the...more

Juveniles Records Expunged

Juveniles are now able to get their records expunged because of the new “Clean Slate” law. The new law will now expunge the arrests records of many teens with minor offenses....more

FINRA Moves To Make Expungement Independent

FINRA operates the Central Registration Depository (“CRD”) – the central, publicly-accessible licensure and registration information source on the US securities industry. Industry members seek to remove – “expunge” – ...more

FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements

The Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposed rule change with the Securities and Exchange Commission to adopt FINRA Rule 2081 that would prohibit broker dealers and associated persons from...more

Corporate and Financial Weekly Digest - Volume IX, Issue 16

In this issue: - US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule - FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements - SEC Issues FAQs...more

Reminder: North Carolina Law Now Prohibits Employer Inquiries About Expunged Criminal Records

Under the recently enacted Senate Bill 91 (effective December 1, 2013), North Carolina employers now are prohibited from requiring job applicants to disclose information (in interviews, on applications or otherwise)...more

New North Carolina Law Prohibits Employers from Asking Applicants for Information About Expunged Criminal Arrests, Charges, and...

Imagine a scenario where the applicant you are about to hire as Chief Financial Officer was convicted of a crime, perhaps embezzlement, that he managed to get expunged, but you’ll never know because you can’t ask him about...more

New California Laws Restrict the Discretion Employers Have to Inquire Into and Use Criminal Record Information

On October 10, 2013, California joined the growing list of states with expanded protections for individuals with prior criminal records when Governor Jerry Brown approved a bill (SB 530) amending the California Labor Code.1 ...more

FINRA Expungements: PIABA’s Press Release Recalls Mark Twain On Statistics

PIABA – the securities-investor plaintiff’s bar – issued an October 16 press release roundly criticizing industry self-regulatory rules allowing a broker to seek expungement of a customer-claim from her permanent record....more

N. C. Employers Barred From Asking About Expunged Criminal Records

Soon, employers in North Carolina no longer will be allowed to ask potential employees about arrests, criminal charges, or convictions that have been expunged. A new law takes effect on December 1, 2013, and prohibits...more

The Flurry of New Employment Laws Regulating the Use of Criminal Records Continues with Expanded Restrictions in Indiana, North...

The public policy interests supporting employment-related protections for ex-offenders, including encouraging ex-offenders to reenter the workforce, are detailed in the updated EEOC Enforcement Guidance, titled “Consideration...more

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