5 Key Takeaways | Petitions for Expungement or Reexamination of the Trademark Modernization Act
The Clean Slate Act’s Impact on Employers
Expungements: A Helping Hand for a Second Chance and New Opportunities
Marlin Keith Andrews v. William S. Humber and Stifel, Nicolaus & Co., Inc., FINRA Case #22-01176 - The claimant asserted causes of action including failure to supervise, breach of fiduciary duty, respondeat superior,...more
Join Michael J. Charlillo as he discusses FINRA's latest expungement process enhancements. He will explore process changes implemented when requesting and obtaining expungement of customer dispute information. Michael will...more
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
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