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FINRA expungement award for broker confirmed by New York Supreme Court
New York Supreme Court confirms FINRA expungement award issued in favor of FINRA broker. See Adams v. Flack (653869/2014)
Imbesi Law, P.C. petitioned the court on behalf of the broker to confirm the award. On May 12, 2015, the court issued an order confirming the FINRA award and mandating expungement.
The court's order set forth:
The Petition is granted and the Arbitration Award from the arbitration proceeding...is hereby confirmed.
The language in Petitioner's Form U5 is expunged pursuant to the Arbitration Award.
Imbesi Law P.C. represents customers, brokers and broker-dealers at FINRA arbitration proceedings, including issues regarding Form U5 expungement. FINRA's expungement process varies depending upon the type of information that is being requested to be removed. FINRA brokers seeking expungement should consult with an attorney to review the various methods available.
Imbesi Law P.C.