@galvinlegal
FINRA’s Code of Arbitration Procedure for Customer Disputes and Code of Arbitration Procedure for Industry Disputes (collectively, the “Arbitration Code”) contain special procedural requirements relating to requests to expunge customer dispute information, including that arbitrators hold a recorded, in-person or telephonic hearing, review settlement documents, consider the amount of payments made to any party, and any other terms and conditions of settlement.
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