I have an complaint that is over 10 years old. The complaint was found merritless and denied by my company. I had documentation and notes which showed that the complaint was with out merit. It still shows on my FINRA Background.
N
Neil Palazzo
8 years ago
had a dispute with a client, made them whole paid a fine and FINRA treated me like a criminal dispite the evidence that was inconclusive. Totally rigged system.
M
Michael Schuldt
8 years ago
Please do not pass the list. False and erroneous claims should be automatically removed.
K
Kevin R Sullivan
8 years ago
These proposed FINRA changes should not happen. Each case needs to be looked at, within it's own context and if an advisor is found innocent, then they should have the right at any time to clean up their record and have it done promptly and without fees at all.
A
Anonymous
8 years ago
we need a fair system to remove meritless claims.
S
Scott Miller
8 years ago
Advisors should have right to remove frivolous complaints from record after period of time
A
Aaron Kirsch CFP
8 years ago
Featured
The system is clearly broken. A compliant against me in 2002 was so baseless that the NASD arbitration panel recommended that the complaint against be me expunged (NASD refused). It's been on my record ever since. This new proposal only seems to make things worse for advisors.
G
Gerry Corrigan
8 years ago
Who protects the advisor from bogus claims, we have already incurred expenses to file and had are reputations tarnished because a client makes a mistake then wants to blame someone else
B
Bill Trahan
8 years ago
I do not support the pending proposal for rule changes. Why handcuff the rep when potentially there is an opportunity to clear his record at some date in the future on a case that should not have gone against him.
E
Edward Glenn
8 years ago
Featured
The proposed changes are outrageous; I have two meritless claims; in one I was named but was not the broker involved! Nonetheless. it was made a part of my record. To permit erroneous claims to mar one's record is simply unjust.
D
David Rankin
8 years ago
The permanent scars on my record are there because the firm I worked for viewed the case as baseless and very winnable but settled for the expected the legal expenses they would incur along the way.
N
Nicholas A Owoyemi
8 years ago
I'm fighting for a balanced FINRA expungment process.
R
Robert Mitchell
8 years ago
If a judgment is ruled in our favor, it should be removed from our record.
T
Thomas J Barbaccia
8 years ago
Remove baseless information
K
Keith Douglas Mize
8 years ago
The FINRA system is stacked against reps where customers and firms can claim anything they want even settle without the rep even knowing until after the firm settles and the rep has no way of disputing the claim.
C
Curtis Whipple
8 years ago
Merrit-less claims have hurt not only my clients but my family.
D
Diana Joe
8 years ago
I was one of the victim on a meritless claim that was denied claim by my company many years ago!
T
Thomas Tate
8 years ago
FINRA needs to protect both the advisor and the investor. These new expungement rules will make it more difficult to provide accurate information to investors.
S
Sandy C Giglio
8 years ago
I support your inititive
S
Steve Mickelson
8 years ago
Like taking candy from a baby...I was the baby. I fully support this petition.
I have an complaint that is over 10 years old. The complaint was found merritless and denied by my company. I had documentation and notes which showed that the complaint was with out merit. It still shows on my FINRA Background.
had a dispute with a client, made them whole paid a fine and FINRA treated me like a criminal dispite the evidence that was inconclusive. Totally rigged system.
Please do not pass the list. False and erroneous claims should be automatically removed.
These proposed FINRA changes should not happen. Each case needs to be looked at, within it's own context and if an advisor is found innocent, then they should have the right at any time to clean up their record and have it done promptly and without fees at all.
we need a fair system to remove meritless claims.
Advisors should have right to remove frivolous complaints from record after period of time
The system is clearly broken. A compliant against me in 2002 was so baseless that the NASD arbitration panel recommended that the complaint against be me expunged (NASD refused). It's been on my record ever since. This new proposal only seems to make things worse for advisors.
Who protects the advisor from bogus claims, we have already incurred expenses to file and had are reputations tarnished because a client makes a mistake then wants to blame someone else
I do not support the pending proposal for rule changes. Why handcuff the rep when potentially there is an opportunity to clear his record at some date in the future on a case that should not have gone against him.
The proposed changes are outrageous; I have two meritless claims; in one I was named but was not the broker involved! Nonetheless. it was made a part of my record. To permit erroneous claims to mar one's record is simply unjust.
The permanent scars on my record are there because the firm I worked for viewed the case as baseless and very winnable but settled for the expected the legal expenses they would incur along the way.
I'm fighting for a balanced FINRA expungment process.
If a judgment is ruled in our favor, it should be removed from our record.
Remove baseless information
The FINRA system is stacked against reps where customers and firms can claim anything they want even settle without the rep even knowing until after the firm settles and the rep has no way of disputing the claim.
Merrit-less claims have hurt not only my clients but my family.
I was one of the victim on a meritless claim that was denied claim by my company many years ago!
FINRA needs to protect both the advisor and the investor. These new expungement rules will make it more difficult to provide accurate information to investors.
I support your inititive
Like taking candy from a baby...I was the baby. I fully support this petition.