ARTICLE
24 July 2020

FINRA Amends Arbitration Code To Apply Minimum Fees To Customer Dispute Expungement Requests

CW
Cadwalader, Wickersham & Taft LLP

Contributor

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
FINRA amended the Codes of Arbitration Procedure for Customer and Industry Disputes to apply minimum fees to all requests for expungement of customer dispute information...
United States Litigation, Mediation & Arbitration

FINRA amended the Codes of Arbitration Procedure for Customer and Industry Disputes to apply minimum fees to all requests for expungement of customer dispute information, regardless of whether such requests are made during customer arbitrations or through separate arbitration claims.

The amendments will apply to cases filed on or after September 14, 2020.

Primary Sources

  1. FINRA Regulatory Notice 20-25: FINRA Amends Arbitration Codes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information

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