Expunging Complaints From Broker Check

There is a major sea-change coming and it will lift many Brokers’ boats: FINRA lost a major case in California and is forced to retreat from its position refusing to deal with Broker Check defamation. Financial Advisors, prior to a case that came out in October 2012 ( Lickiss v. FINRA, A134179 (Cal.App.1st, 2012)) were frustrated in trying to have FINRA remove defamatory and fact-false complaints posted by FINRA on Broker Check. That may be changing. The California case goes a long way to expand the ability of securities lawyers to demand Broker Check complaints be removed. If your business is being held back by scurrilous and fact-false Broker Check complaints we have some new cases to force FINRA to do the right thing when you have been wronged. Contact my office at 954-761-3444 (phones answered 24/7) for more information

Contact Information