Judex Law, LLC Blog
Articles & Resources
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.
How Can I Have FINRA Expunge Customer Dispute Information From BrokerCheck?
If you need help removing misleading information from BrokerCheck, you have the right to file an expungement request with FINRA. Talk to a trusted securities law attorney today to learn more about what to expect from the process.
FINRA Reminds Arbitrators to Maintain Civility in Arbitration
The latest FINRA newsletter dedicated several pages to reminding arbitrators of their responsibility to maintain civility during proceedings. Here’s what financial advisors need to know about how these guidelines could impact expungement requests.
