galvinlegal
Member
GPB Holdings
Participation in the court confirmation proceeding by FINRA and the states is an additional precaution to ensure that courts are aware of the standards of FINRA Rule 2080 as well as applicable regulatory and investor protection objectives. There is currently no system in place to guarantee that courts are aware of the investor protection, public policy, and regulatory issues raised by the deletion of customer dispute information. Although courts are not required to follow the requirements outlined in FINRA Rule 2080, the Rule allows FINRA and the states to engage in the court confirmation process and make courts fully aware of investor protection and regulatory issues regarding incorrect expungements. FINRA will normally engage in the court confirmation hearing and will fight the expungement directive's approval.
Member Since
08-30-2022
Male
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First Name
GPB
Last Name
Holdings
Country
 United States
Postal Code
30033
City
Decatur
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