{"id":4507,"date":"2007-10-09T01:46:51","date_gmt":"2007-10-09T01:46:51","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/10\/new_study_alludes_to_securitie"},"modified":"2022-03-28T14:47:56","modified_gmt":"2022-03-28T19:47:56","slug":"new-study-alludes-to-securitie","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/new-study-alludes-to-securitie\/","title":{"rendered":"Study Says Securities Arbitrators Often Expunge Investor Settlements from Brokers\u2019 Records"},"content":{"rendered":"

A recent study conducted by the Public Investors Arbitration Bar Association indicates that securities arbitrators frequently agree to erase past settlements that were paid to investors from brokers’ records. Removing brokers’ settlement payments from their histories could cause future investors to not find out about the brokers’ past misconduct.<\/p>\n

The study reveals that 99% of the time, FINRA arbitrators are the ones who suggest expunging these records. Over 70% of these decisions were made without hearings, even though there are new rules in place that say that a record can only be expunged if the complaint is false, erroneous, or did not involve the broker that was accused.<\/p>\n

FINRA disagrees with the study results and claims expungements have dropped dramatically since the new rules were put in place in 2004.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

A recent study conducted by the Public Investors Arbitration Bar Association indicates that securities arbitrators frequently agree to erase past settlements that were paid to investors from brokers’ records. Removing brokers’ settlement payments from their histories could cause future investors to not find out about the brokers’ past misconduct. The study reveals that 99% of […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3798,3739],"tags":[],"class_list":["post-4507","post","type-post","status-publish","format-standard","hentry","category-arbitration","category-finra"],"yoast_head":"\nStudy Says Securities Arbitrators Often Expunge Investor Settlements from Brokers\u2019 Records — Investor Lawyers Blog — October 9, 2007<\/title>\n<meta name=\"description\" content=\"A recent study conducted by the Public Investors Arbitration Bar Association indicates that securities arbitrators frequently agree to erase past — October 9, 2007\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/new-study-alludes-to-securitie\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Study Says Securities Arbitrators Often Expunge Investor Settlements from Brokers\u2019 Records — Investor Lawyers Blog — October 9, 2007\" \/>\n<meta name=\"twitter:description\" content=\"A recent study conducted by the Public Investors Arbitration Bar Association indicates that securities arbitrators frequently agree to erase past — October 9, 2007\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards & Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Study Says Securities Arbitrators Often Expunge Investor Settlements from Brokers\u2019 Records — Investor Lawyers Blog — October 9, 2007","description":"A recent study conducted by the Public Investors Arbitration Bar Association indicates that securities arbitrators frequently agree to erase past — October 9, 2007","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/new-study-alludes-to-securitie\/","twitter_card":"summary_large_image","twitter_title":"Study Says Securities Arbitrators Often Expunge Investor Settlements from Brokers\u2019 Records — Investor Lawyers Blog — October 9, 2007","twitter_description":"A recent study conducted by the Public Investors Arbitration Bar Association indicates that securities arbitrators frequently agree to erase past — October 9, 2007","twitter_misc":{"Written by":"Shepherd Smith Edwards & Kantas, LLP","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/new-study-alludes-to-securitie\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/new-study-alludes-to-securitie\/"},"author":{"name":"Shepherd Smith Edwards & Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"Study Says Securities Arbitrators Often Expunge Investor Settlements from Brokers\u2019 Records","datePublished":"2007-10-09T01:46:51+00:00","dateModified":"2022-03-28T19:47:56+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/new-study-alludes-to-securitie\/"},"wordCount":464,"articleSection":["Arbitration","FINRA"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/new-study-alludes-to-securitie\/","url":"https:\/\/www.investorlawyers.com\/blog\/new-study-alludes-to-securitie\/","name":"Study Says Securities Arbitrators Often Expunge Investor Settlements from Brokers\u2019 Records — Investor Lawyers Blog — October 9, 2007","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"datePublished":"2007-10-09T01:46:51+00:00","dateModified":"2022-03-28T19:47:56+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"A recent study conducted by the Public Investors Arbitration Bar Association indicates that securities arbitrators frequently agree to erase past — October 9, 2007","breadcrumb":{"@id":"https:\/\/www.investorlawyers.com\/blog\/new-study-alludes-to-securitie\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.investorlawyers.com\/blog\/new-study-alludes-to-securitie\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.investorlawyers.com\/blog\/new-study-alludes-to-securitie\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.investorlawyers.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Study Says Securities Arbitrators Often Expunge Investor Settlements from Brokers\u2019 Records"}]},{"@type":"WebSite","@id":"https:\/\/www.investorlawyers.com\/blog\/#website","url":"https:\/\/www.investorlawyers.com\/blog\/","name":"Investor Lawyers Blog","description":"Published By Investment Fraud Attorneys \u2014 Shepherd Smith Edwards & Kantas, LLP","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.investorlawyers.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431","name":"Shepherd Smith Edwards & Kantas, LLP","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","caption":"Shepherd Smith Edwards & Kantas, LLP"},"sameAs":["https:\/\/www.investorlawyers.com\/"]}]}},"jetpack_featured_media_url":"","jetpack_shortlink":"https:\/\/wp.me\/pedX9K-1aH","_links":{"self":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/4507","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/comments?post=4507"}],"version-history":[{"count":5,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/4507\/revisions"}],"predecessor-version":[{"id":25820,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/4507\/revisions\/25820"}],"wp:attachment":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/media?parent=4507"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/categories?post=4507"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/tags?post=4507"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}