Judex Law, LLC Blog

If you decide to pursue an expungement request through FINRA to have this information removed, work with an experienced securities law attorney to ensure you navigate this process with clarity and confidence.

Instead of in-person hearings, FINRA offered virtual arbitration hearings that came with their own set of challenges. From navigating technical challenges to understanding your role in the process, it’s helpful to consult a skilled securities law attorney for help.

FINRA Rule 411 allows the entity to evaluate its 3,400 broker-dealers once annually to determine which firms should be designated “restricted firms.” However, people are concerned about prematurely labeling a firm as “restricted” before finding it guilty of misconduct.

As a financial advisor involved in FINRA arbitration, it’s natural to feel concerned about the panel’s ruling. Enlisting the support of an experienced and understanding securities law attorney is the best way to ensure you can move through these proceedings with confidence.

Some of FINRA’s efforts may unfairly target financial advisors and cause significant stress and anxiety as they participate in investigations involving inaccurate or false allegations. Contact an experienced securities law attorney today to learn more.

If you receive a letter from FINRA informing you of your involvement in an investigation, it’s natural to feel concerned about how this will impact you. Take some time to talk to potential attorneys to get a sense of their style and approach to FINRA-related matters.

FINRA Rule 4111 aims to impose greater penalties on broker-dealer firms that exhibit a “significant history of misconduct.” Talk to a knowledgeable securities law attorney today to learn more.

Overall, FINRA arbitration case filings from January 2021 through November 2021 were down from the same 11-month period in 2020. If you need help preparing for an upcoming hearing, reach out to a knowledgeable securities law attorney today.

Those working in the financial industry should understand that FINRA also holds its panel of arbitrators to certain standards. If an arbitrator fails to fully disclose any potential sources of bias, the arbitration awards may be vacated and the arbitrator may be removed from the formal roster.