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Exploring the Latest FINRA Arbitration Case Filings and Trends

FINRA arbitration case filings between January and May 2023 show a 37 percent increase from the number of filings during the same five-month period in 2022. Read more about what the latest trends could mean for the securities industry.

Your Go-To Legal Checklist for Starting a New Business

From helping you select the right business structure to reviewing contracts to protect the current and future best interests of your new endeavor, a business law attorney can answer your questions, address your concerns, and support you at every phase of the process.

What FINRA’s New “Restricted” Label on BrokerCheck Means For Your Firm

With the SEC’s approval of FINRA Rule 4111, FINRA will start disclosing a member firm’s “Restricted” status on BrokerCheck, effective as of June 1, 2023. Read more about how this new rule may impact member firms and individual brokers.

Do I Need a Lawyer to Start a New Business?

Although it’s not required to work with a business lawyer when starting a new company, doing so is often advantageous and can save you considerable time and money in the long run.

What the SEC’s Approval of FINRA’s Proposed Rule Changes Means for Advisors

The Securities and Exchange Commission (SEC) recently approved FINRA’s proposed rule changes to the expungement process, despite multiple concerns from industry experts. Contact a securities law attorney to learn more about how these changes may affect you.

The Advantages and Drawbacks of Business Partnerships

Take some time to identify the pros and cons of business partnerships before you move forward. Working with an experienced business law attorney will help you make informed decisions about your business with greater clarity and confidence.

FINRA’s Proposed Changes to Arbitrator Selection Process

Many of FINRA’s rules regarding the arbitrator selection process may be shifting in the upcoming months, so reach out to a knowledgeable securities law attorney for the clarification you need.

Essential Questions to Ask an Attorney When Starting a New Business

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.

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.
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