I have a FINRA Dispute Resolution award but I must obtain confirmation for a court of competent jurisdiction before CRD will execute the expungement directive.
In theory "court of competent jurisdiction" includes both state and federal courts, and may be determined by such facts as the nature of the claims presented, the domiciles of the parties and the amounts in controversy. Sometimes there may be more than one court to choose from, sometimes not. You should consult with a licensed attorney in your area to determine which court would be most appropriate based upon the facts in your case.
This response is not legal advice, and is intended only as general public information concerning the matters raised in the question. The facts of each case differ, and the question as posed may not disclose important facts or dates which could significantly change the nature of the response given. No attorney-client relationship has been created. The questioner should consult with a licensed attorney in his or her state to assure the effect of any applicable state or local laws are considered.
Elder Law Attorney
I recommend you call an Avvo securities attorney in Pinellas or Hillsborough County (weblinks below). You will need an attorney to guide you through the legal process of aquiring a court order for the expungement. I'm sure one of the lawyers listed on the weblinks below will either be able to help you or explain the process.
Susan Gregory Liammari, Esq.
1491 East Venice Avenue, Suite A
Venice, Florida 34292