Even when forced to play such games, the individual stockbroker cannot obtain an order of expungement that is self-executing from the FINRA Arbitrator.
FORBES: UBS Broker Wrongly Named In Customer Arbitration Forced Into Expungement Nightmare
2.
The disheartening costs of retaining your own lawyer to defend your besmirched reputation aside, the FINRA expungement process itself can be quite daunting.
FORBES: Former Chase Broker Goes the Distance in FINRA Expungement Victory
3.
According to testimony at the expungement hearing, TD operated a recording system for all calls between its employees and anyone else, including customers.
FORBES: Taped Phone Conversations Discredit Customer And Exonerate Stockbroker