Judex Law, LLC Blog

Articles & Resources

Understanding Evidentiary Issues in FINRA Arbitration

It’s important to recognize that FINRA’s arbitration panel is not required to follow federal or state rules of evidence. Working with a seasoned securities law attorney can help you navigate evidentiary issues with greater clarity and confidence.

FINRA Releases the Latest Arbitration Case Filings and Hearing Statistics

FINRA recently released the latest arbitration case filings and hearing statistics, highlighting a decrease in filings from 2021 to 2022. Reach out to a trusted securities law attorney to learn more about how these trends may impact your expungement request matter.

How Can I Have FINRA Expunge Customer Dispute Information From BrokerCheck?

If you need help removing misleading information from BrokerCheck, you have the right to file an expungement request with FINRA. Talk to a trusted securities law attorney today to learn more about what to expect from the process.

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.

Get Started

Talk to one of the experienced attorneys at Judex Law, LLC today.

Schedule a Consult