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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.

Everything You Need to Know About Business Formation in Colorado

As you prepare to launch a new business in Colorado, consider enlisting the guidance of a dedicated business formation attorney to ensure that you are giving your company the stable foundation it needs to grow and thrive.

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.
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