Judex Law, LLC Blog
Articles & Resources
Steps to Take if You’re Under Investigation By the SEC
Being the subject of an SEC investigation can be stressful, especially if you know the allegations against you or your business are unfounded. Taking steps like hiring an attorney and preparing for each step of the upcoming process can empower you to move forward with greater confidence.
How Long Does it Take to Start a New Business in Colorado?
While starting a new business in Colorado does not take much time, approaching the process with care and foresight can set you up for success. Discuss your goals with an experienced business law attorney today.
FAQs About FINRA’s Expungement Request Process for Financial Advisors
FINRA’s recently enacted rule changes to the expungement request process may still be confusing for financial advisors. Working with a knowledgeable securities law attorney is the best way to make informed decisions with greater certainty.
FINRA Addresses the Use of Artificial Intelligence Tools in Arbitration Proceedings
FINRA recently warned arbitrators that the use of artificial intelligence (AI) tools is prohibited when serving on a case. Here’s what this means for advisors and member firms.
The Unexpected Benefits of Hiring an Experienced Business Law Attorney
While hiring a lawyer is not required for those looking to start a business, a knowledgeable business law attorney can provide startup guidance and advocate for your best interests in any legal disputes. Discuss your options with a highly qualified attorney today.
FINRA Releases Latest Arbitration Case Filings and Trends Data Through May 2024
FINRA recently released the latest arbitration case filings and trends through May 2024, which show a decrease from the previous year. Learn more about what these most up-to-date statistics mean for financial advisors and member firms.
How FINRA’s Revised Rules Impact Special Arbitrators and Expungement Requests
When the SEC approved FINRA’s rule changes for the expungement relief process, new policies for specially-trained arbitrators were also activated. Here’s what they mean and how they could affect a financial advisor’s expungement relief request.
FINRA’s Newly Enacted Rules Lead to Fewer Expungement Requests From Advisors
FINRA’s newly enacted rules have prompted a decline in the number of advisor requests for expungement. As a financial advisor, you can explore your options for expungement with a dedicated and experienced securities law attorney.
Tips for Creating Effective Employment Policies for Your Small Business
As you launch your small business, consider working with a trusted and experienced Colorado business law attorney who can help you establish clear employee policies that minimize potential issues later on.
FINRA Releases Comprehensive Dispute Resolution Statistics For 2023
According to FINRA’s most recent arbitration case filings and trends statistics for 2023, the number of case filings rose by 27 percent from 2022 to 2023. Interestingly, the first few months of 2024 saw a decrease in case filings. Here are the latest takeaways from the recently released findings.
