Judex Law, LLC Blog

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FINRA Updates FAQ Page to Reflect Newly Enacted Rules About Expungement of Customer Dispute Information

In light of the recently enacted revisions to FINRA’s rules regarding the expungement of customer dispute information process, FINRA launched an FAQ page addressing some common questions that have arisen since the rules went into effect.

How an Experienced Attorney Can Help to Defend You Against Securities Fraud Investigations

If you are facing an SEC investigation regarding alleged securities fraud, contact a skilled attorney right away to start preparing your defense strategy. Your dedicated securities fraud defense lawyer will work hard to keep your future as bright as possible.

What to Expect and How to Prepare For an Upcoming FINRA Arbitration

If you are facing an upcoming FINRA arbitration, it’s best to work with a securities law attorney to maximize your chances of obtaining a fair and favorable outcome. Preparing in advance ensures that you approach the process with confidence.

Your Updated Guide to the FINRA Expungement Request Process

Financial advisors who are hoping to have baseless customer dispute information removed from the CRD can seek an expungement request through FINRA. The recently enacted rule changes can complicate the process, so working with a trusted securities law attorney is recommended.

Business Formation in Colorado: Myth Versus Reality

When it comes to starting a new business in Colorado, it’s helpful to recognize and debunk some common myths about the process. Enlisting the guidance of a dedicated and friendly business formation lawyer is the best way to set yourself up for success.

What FINRA’s Latest Arbitration Case Filings and Trends Could Mean For 2024

Between January and November of 2023, FINRA saw a 30 percent increase in arbitration case filings compared to the previous year. Intra-industry claims rose by 63 percent, while customer-initiated claims increased by 12 percent. This growth is expected to continue throughout 2024 and beyond.

Key Legal Considerations When Starting a Small Business in Colorado

As you launch a new small business, there are several steps you will need to take to remain compliant with all applicable legal requirements. Enlisting the guidance of a skilled business law attorney is the best way to set yourself up for success.

FINRA Finalizes Amendments to Codes of Arbitration Procedure, Further Limiting Expungement Requests

After several long months, FINRA’s amendments to the Codes of Arbitration Procedure have finally taken effect. These new rules dramatically limit a financial advisor’s ability to obtain a successful expungement request. Working with a skilled security law attorney is highly recommended.

How an Attorney Can Help Your New Business Implement Effective Employment Policies

As you launch a new business in Colorado, it’s best to work with a trusted business law attorney who can help you implement effective employment policies and other legal protections to minimize risk and keep the future as bright as possible.

FAQs About FINRA’s Updated Rules to Expungement Requests

If you have questions about navigating FINRA’s recent rule changes that impact the expungement request process, you’re not alone. Reach out to a securities law attorney today to learn more about how these updates could affect your case.

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