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Expungement of U5 and CRD- non customer related

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Feb 20, 2009 2:11 am

Expungement of U5 and CRD- non customer related

  Does anyone have knowledge and/or experience in the expungement procedure of a U5 and CRD in a non customer related dispute?   Do you know what forms to use and how to recover costs?  How to file defamation?    The FINRA website is very specific about customer complaints.    The industry related non customer related complaint procedure is rather confusing.  I see forms to start an arbitration and then comments not to use those forms in a non custmer related dispute.  But, then there is no mention of the forms one would use.   I am sure it is all there plain and simple.  But, I am only seeing mud.   Curious if someone can help.   Thank you.
Feb 20, 2009 6:31 pm

Thank you for pointing out the difficulties and the unfairness.  How would I begin the process?  Do you know what type of forms to submit?  Does this go through FINRA arbitration?  Does it go through the court system first?  Can I do this myself?

  The FINRA website does not help much.  I am trying to get answers from them.  They are somewhat unresponsive.
Feb 20, 2009 6:35 pm

You’re asking an attorney if you can do this yourself???

  You want to go up against FINRA without representation???