Judex Law, LLC Blog

Articles & Resources

​​How Often Does FINRA Grant Expungement Requests?

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.

How FINRA Virtual Arbitration Hearings Differ From In-Person Hearings

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.

Examining Recent Criticisms of FINRA Rule 4111

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.

Understanding the Role of a FINRA Arbitration Chairperson

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.

How FINRA is Expanding Disciplinary and Enforcement Efforts in 2022

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.

Ethics & E-Discovery During the FINRA Arbitration Process

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.

The Latest Updates on FINRA Rule 4111

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.

The Latest FINRA Arbitration Hearing Statistics

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.

Why FINRA’s Arbitrator Disclosure Rules Matter

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.

How to Create Solid Business Contracts

Protect your business from potential legal issues by preparing clear and effective contracts. Have a trusted business law attorney review these documents to ensure that they afford you the necessary protections.

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