Ian J McLoughlin’s Blog
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FINRA has proposed significant changes to its rules for expunging erroneous customer complaints from a broker’s record. In May 2020, the SEC approved one proposed change to apply minimum fees for expungement requests, which is slated to go into effect by September 2020.
In 2019, attorney Ian McLoughlin returned to private practice after working as Senior Enforcement Counsel in FINRA’s Boston office. He has since successfully represented brokers, investment advisers and other financial professionals.
In the wake of recent news articles in the Wall Street Journal, attorney Ian McLoughlin is investigating Yieldstreet, Inc., a digital platform which sells notes to investors that are tied to loan pools, for possible securities fraud resulting in missed payments to investors.
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