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Explained Award Features an Explained Dissent: Schneider v. Khalsa
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Explained Award: Schneider v. Khalsa, FINRA ID #16-00680 (Albuquerque, NM, 11/23/16).

Expungement recommendations by three-member panels are almost always unanimous,

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Broker Wins Partial Expungement of Customer Claims in Explained Award: Vogel v. Brouwer
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An Explained Partial Expungement Award: Vogel v. Brouwer, FINRA ID #15-01636 (Detroit, MI, 6/6/16).

Expungements are usually all or nothing – either the complained-of expungement is erased from the broker’s records in its entirety or those records are left untouched.

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FINRA Reacts To PIABA Criticism of Efforts To Corral Expungement Grants by Arbitrators
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We learned this week that FINRA had a lot to say about the most recent statistical study on expungement performed by the Public Investor Arbitration Bar Association.

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PIABA’s Updated Expungement Study
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The Public Investor Arbitration Bar Association (PIABA) rolled out a follow-up to its influential 2013 study of expungements in stipulated Awards in a press teleconference on Monday,

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Hot Topics Program Features Past Directors and Task Force Representatives
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The presence of the current Director of Arbitration (DOA) and two past DOAs on the Panel at this year’s annual “Securities Arbitration & Mediation Hot Topics” seminar added dimension and perspective to the discussion of FINRA’s dispute resolution efforts at the May 19 program.

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SEC Approves FINRA Expungement Rule Proposal
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We have covered extensively FINRA’s proposed new rule that would prohibit conditioning a settlement on a customer’s agreement not to oppose expungement (see,

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