Removing meritless disclosures from your BrokerCheck, CRD, IARD, or IAPD records is viable through FINRA arbitration.
The internet makes it easy for prospective investors to learn about financial advisors’ employment history, certification and licenses, as well as investor complaints, terminations, and regulatory violations. In fact, FINRA cited 40 million visitors to BrokerCheck just last year.
Because of the immediacy and ease of locating these negative disclosures on either BrokerCheck or the IAPD, individual advisors benefit considerably from FINRA and CRD expungement of a mark that is tarnishing their name and brand.
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