Judex Law, LLC Blog
Articles & Resources
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.
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.
