FINRA Reminds Arbitrators to Maintain Civility in Arbitration
The latest FINRA newsletter dedicated several pages to reminding arbitrators of their responsibility to maintain civility during proceedings. Here’s what financial advisors need to know about how these guidelines could impact expungement requests.
Understanding the Latest SEC Enforcement Results for 2022
The SEC released its annual summary of all actions brought by the Division of Enforcement over 2022’s fiscal year. As the Division takes a more proactive approach to enforcement, financial advisors and member firms should seek legal counsel as soon as a potential issue arises.
SIFMA Issues Letter Urging SEC Not to Adopt FINRA’s Proposed Expungement Rule Changes
The Securities Industry and Financial Markets Association (SIFMA) released a letter to the SEC urging it to deny FINRA’s proposed rule change, as it fears these amendments are unfair and will cause reputational damage for many financial advisors and firms.
Ruling on FINRA’s Proposed Changes to Expungement Process Delayed Until 2023
FINRA recently announced that it had amended some of its proposed changes to tighten the expungement process further, delaying the SEC’s decision until 2023. Here’s the latest on what these modifications could mean for financial advisors and securities firms.
Understanding the Role of Independent Arbitrators in FINRA Disputes
Individuals wishing to serve as arbitrators in FINRA-related matters must abide by a Code of Ethics, maintain confidentiality, and follow specific procedures for disposing of documents, among other responsibilities.
Operating Agreement Essentials to Protect and Support Your Business
Although establishing an operating agreement may seem like a mere formality, taking this step is one of the most strategic things you can do to ensure your business runs smoothly and that disputes are resolved efficiently.
Your Questions About FINRA’s Expungement Process, Answered
FINRA has proposed several rule changes to the current expungement request process. Unfortunately, these changes would likely make the expungement request process more difficult for firms and broker-dealers to have inaccurate customer dispute information removed from publicly available databases.
Your Biggest Questions About Business Formation, Answered
Whether you are just starting to explore the ins and outs of business formation or you have a specific question about the process, enlisting the guidance of an experienced and knowledgeable business attorney can give you the support you need to make informed choices with confidence.
SIFMA Reacts to FINRA’s Proposed Rule Changes to Expungement Process
The Securities Industry and Financial Markets Association (SIFMA) has recently weighed in on FINRA’s proposed rule changes that may carry negative and lasting consequences for financial advisors victimized by inaccurate customer dispute information.
FINRA Proposes Expungement Window Be Limited to 2 Years
FINRA intends to make expungements even harder to obtain by shortening this window to a two-year period. You should discuss your situation with an experienced securities law attorney today to learn more.
Judex Law, LLC is a full-service securities and business law firm located in Broomfield, Colorado. We handle a range of securities law matters, including disclosures, broker/securities fraud and negligence, state regulatory defense, securities compliance, FINRA complaint expungement, and arbitration. We also help small businesses and startups with business formation, employment policies, operating agreements, partnership agreements, business taxes, and contracts.
Phone: (303) 523-4022
Broomfield, CO 80020 In-person consultations by appointment only.