In the world of stockbroking, maintaining a clean, professional record is crucial. Customer complaints, whether justified or not, can tarnish a broker’s reputation and hinder their career progression. That’s where the process of expungement comes in. Expungement is a legal procedure to remove customer complaints from a broker’s FINRA Broker Check record. But why is it important to file an expungement claim sooner rather than later? Let’s delve into the reasons.

1. Protect Your Reputation

The longer a complaint stays on your record, the more potential clients, employers, and colleagues can see it. Filing an expungement claim promptly can help protect your professional reputation.

2. Avoid Complications

As time passes, obtaining the necessary documentation and evidence for your claim can become more challenging. Witnesses may be harder to locate, and their memories of the events may fade. Filing sooner can help avoid these complications.

3. Regulatory Changes

Regulations and laws governing expungement can change. Filing your claim sooner rather than later can help ensure that your claim is processed under current regulations, potentially making the process smoother and more predictable.

4. Peace of Mind

Having a complaint on your record can cause significant stress and worry. The sooner you file your expungement claim and clear your name, the sooner you can have peace of mind and focus on your career.

At the Law Offices of David Harrison, we specialize in helping stockbrokers navigate the expungement process. If you have a customer complaint on your FINRA Broker Check record and are considering expungement, don’t delay. Contact us today for a consultation.

Contact Us

Please fill out the form below and our attorney will contact you.


Office Location

  • Beverly Hills Office


    9454 Wilshire Boulevard
    Suite 820
    Beverly Hills, California 90212