Judex Law, LLC Blog

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FAQs About FINRA’s Newly Adopted Rule 4111

FINRA Rule 4111 requires member firms designated as “Restricted Firms” to pay cash or qualified securities into a separate account and adhere to specific rules and obligations. Reach out to a knowledgeable securities law attorney to learn more.

How to Respond to a FINRA Rule 8210 Request

Receiving a Rule 8210 request can be stressful, and it’s natural to wonder how this investigation will impact your career and professional reputation. Enlist the help of a skilled securities law attorney today to learn more.

What New FINRA Rule 9561 Means for Brokerage Firms and Financial Advisors

The Financial Industry Regulatory Authority (FINRA) adopted several new rule changes, many of which specifically target firms with a significant history of misconduct. Talk to a skilled securities law attorney today to learn more.

How an Attorney Can Assist You With Business Tax Issues

Whether you are looking for information or advice regarding a tax decision, working with an experienced business attorney can give you the clarity you need to move forward with confidence. Reach out today to get started.

FINRA CRD Expungement FAQs

Even one unfair customer dispute can appear on your BrokerCheck report, complicating your prospects of growing your business or qualifying for another position in the financial services industry. Talk to a securities attorney today to explore your options.

All You Need to Know About FINRA Expungement Requests

If you are interested in pursuing an expungement request to have an inaccurate or baseless disclosure removed from the CRD system, discuss your options with a trusted securities law attorney to determine the best path forward.

How FINRA’s New Rules Can Affect Your Employability

While FINRA aims to keep financial advisors who have been subjected to baseless or inaccurate disclosures from suffering adversely from this new rule, brokers may still face barriers to employment and damage to their professional reputations.

Business Formation FAQs

One of the areas where new business owners often have questions is selecting a business structure. Discuss your needs and goals with an experienced business attorney so you can make an informed decision with greater certainty and confidence.

FINRA Taking Steps to Tighten Expungement Request Process

Both the SEC and FINRA are taking steps to tighten the expungement request process and make it more difficult for advisors to defend their professional reputations. Call a trusted securities law attorney to discuss your options.

FINRA Sees Decrease in Arbitration Case Filings in 2021

FINRA’s recent data indicates that the number of arbitration case filings has fallen from 2020 to 2021. While in-person hearings have resumed as of August 2, 2021, FINRA continues to offer virtual arbitration hearings for those who request to do so.

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