Gustafson Nicolai pc Obtains Expungement of Customer Complaint on Former Merrill Lynch Financial Advisor’s FINRA CRD Records

August 11, 2017 Uncategorized

Gustafson Nicolai pc is pleased to announce that it recently won a Financial Industry Regulatory Authority (FINRA) arbitration in Houston, Texas, in which the arbitration panel, in a unanimous decision, awarded expungement of a customer complaint from a former Merrill Lynch financial advisor’s Central Registration Depository (CRD) records maintained by FINRA. Among other services Gustafson Nicolai performs for its clients, we assist financial advisors in the securities industry in attempting to obtain expungement of negative marks on their CRD records.