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galvinlegal
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2 years ago
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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galvinlegal
Member
Flag This User — cancel
Select the category that most closely reflects your concerns so we can review it and determine if it violates the Society Guidelines
Activity
galvinlegal has joined ChillSpot1, say hello to galvinlegal
2 years ago
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
0 Likes
First Name
GPB
Last Name
Holdings
Country
 United States
Postal Code
30033
City
Decatur
User has no Friends yet
User has no Friends yet
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User has no Subscribers yet
User has no Subscribers yet
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User has no Subscriptions yet
User has no Subscriptions yet
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