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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.

Here’s What FINRA’s Adoption of Two Major Rule Changes Means For You

FINRA has announced the adoption of two new significant rule changes, both of which aim to penalize brokerage firms that have a considerable history of misconduct. Reach out to an experienced securities law attorney today to discuss your specific concerns.

What You Need to Know About FINRA’s Adoption of Rule 4111

The Financial Industry Regulatory Authority (FINRA) recently announced that it has formally adopted a new rule that addresses firms with a history of misconduct. Talk to a trusted securities law attorney to learn more about how this rule could affect you and your firm.

Understanding Motions to Dismiss in FINRA Arbitration

FINRA’s rules governing the arbitrators’ ability to grant motions to dismiss are much stricter than those in traditional court proceedings. Discuss your situation with an experienced securities law attorney to determine whether one of these options is appropriate for your case.

How FINRA Arbitrators Inform Parties of Their Decision

If FINRA has notified you of your involvement in an upcoming investigation or arbitration, get in touch with a knowledgeable securities law attorney to determine the best path forward.

What Financial Advisors Should Know Before Signing a FINRA Consent Order

At the conclusion of FINRA’s investigation into an alleged rule violation, FINRA will send an AWC to the advisor or firm at the center of the investigation. Before you sign, discuss the consequences and your legal options so you can move forward with confidence.

When to Work With an Employment Policies Attorney

Should a business disagreement or dispute arise, having clear and effective written policies makes it easier to resolve the matter and protect your best interests. Talk to a trusted business law attorney today to learn more.

FINRA Announces New Rules Affecting Brokers Accused of Misconduct

FINRA recently announced several new rules and amendments targeting brokers and firms with a significant history of misconduct. While these rules appear to protect investors from harmful brokers, they create additional burdens in an already complicated disciplinary process.

Why You Should Work With an Attorney When Facing FINRA Arbitration

While it may feel tempting to let your firm’s attorney handle a FINRA arbitration on your behalf, it’s usually in your best interest to hire your own attorney. Maximize your chances of obtaining a favorable outcome by talking to a skilled securities law attorney today.

FINRA Announces New Exam Sweeps Are on the Way

FINRA recently announced a series of regulatory sweeps to support its commitment to remain in step with constantly evolving business models, technologies, and investment opportunities. Contact a securities law attorney today to learn more.
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