Judex Law, LLC Blog
Articles & Resources
FINRA Releases Comprehensive Dispute Resolution Statistics For 2023
According to FINRA’s most recent arbitration case filings and trends statistics for 2023, the number of case filings rose by 27 percent from 2022 to 2023. Interestingly, the first few months of 2024 saw a decrease in case filings. Here are the latest takeaways from the recently released findings.
Everything You Need to Know About Business Formation in Colorado
As you prepare to launch a new business in Colorado, consider enlisting the guidance of a dedicated business formation attorney to ensure that you are giving your company the stable foundation it needs to grow and thrive.
FINRA Updates FAQ Page to Reflect Newly Enacted Rules About Expungement of Customer Dispute Information
In light of the recently enacted revisions to FINRA’s rules regarding the expungement of customer dispute information process, FINRA launched an FAQ page addressing some common questions that have arisen since the rules went into effect.
How an Experienced Attorney Can Help to Defend You Against Securities Fraud Investigations
If you are facing an SEC investigation regarding alleged securities fraud, contact a skilled attorney right away to start preparing your defense strategy. Your dedicated securities fraud defense lawyer will work hard to keep your future as bright as possible.
What to Expect and How to Prepare For an Upcoming FINRA Arbitration
If you are facing an upcoming FINRA arbitration, it’s best to work with a securities law attorney to maximize your chances of obtaining a fair and favorable outcome. Preparing in advance ensures that you approach the process with confidence.
Your Updated Guide to the FINRA Expungement Request Process
Financial advisors who are hoping to have baseless customer dispute information removed from the CRD can seek an expungement request through FINRA. The recently enacted rule changes can complicate the process, so working with a trusted securities law attorney is recommended.
Business Formation in Colorado: Myth Versus Reality
When it comes to starting a new business in Colorado, it’s helpful to recognize and debunk some common myths about the process. Enlisting the guidance of a dedicated and friendly business formation lawyer is the best way to set yourself up for success.
What FINRA’s Latest Arbitration Case Filings and Trends Could Mean For 2024
Between January and November of 2023, FINRA saw a 30 percent increase in arbitration case filings compared to the previous year. Intra-industry claims rose by 63 percent, while customer-initiated claims increased by 12 percent. This growth is expected to continue throughout 2024 and beyond.
Key Legal Considerations When Starting a Small Business in Colorado
As you launch a new small business, there are several steps you will need to take to remain compliant with all applicable legal requirements. Enlisting the guidance of a skilled business law attorney is the best way to set yourself up for success.
FINRA Finalizes Amendments to Codes of Arbitration Procedure, Further Limiting Expungement Requests
After several long months, FINRA’s amendments to the Codes of Arbitration Procedure have finally taken effect. These new rules dramatically limit a financial advisor’s ability to obtain a successful expungement request. Working with a skilled security law attorney is highly recommended.