Judex Law, LLC Blog
Articles & Resources
Your Questions About FINRA’s Expungement Process, Answered
FINRA has proposed several rule changes to the current expungement request process. Unfortunately, these changes would likely make the expungement request process more difficult for firms and broker-dealers to have inaccurate customer dispute information removed from publicly available databases.
Your Biggest Questions About Business Formation, Answered
Whether you are just starting to explore the ins and outs of business formation or you have a specific question about the process, enlisting the guidance of an experienced and knowledgeable business attorney can give you the support you need to make informed choices with confidence.
SIFMA Reacts to FINRA’s Proposed Rule Changes to Expungement Process
The Securities Industry and Financial Markets Association (SIFMA) has recently weighed in on FINRA’s proposed rule changes that may carry negative and lasting consequences for financial advisors victimized by inaccurate customer dispute information.
FINRA Proposes Expungement Window Be Limited to 2 Years
FINRA intends to make expungements even harder to obtain by shortening this window to a two-year period. You should discuss your situation with an experienced securities law attorney today to learn more.
The Latest on FINRA’s Rules For Pursuing an Expungement of Customer Dispute Information
In recent months, FINRA announced a few substantial rule changes to the expungement request process. Here’s what you need to know about the reasons behind these proposed changes and the potential consequences they may carry if enacted.
Two Years Later, FINRA Still Prioritizing Regulation Best Interest (“Reg BI”)
Since FINRA implemented new Reg BI-related regulation requirements, it has identified a few areas for improvement and highlighted some of the best practices that member firms can use to remain in compliance.
How Working With an Attorney Can Help Your Small Business Thrive
While you may not think to enlist the help of a business attorney unless you encounter a legal dispute, there are several advantages to doing so as you prepare to launch your new business.
What Financial Advisors Should Know About Recent FINRA Updates
It’s important for financial advisors to stay informed about the latest news and proposed rule changes the Financial Industry Regulatory Authority (FINRA) announces, as amended rules may impact you or your firm. Contact a securities law attorney to learn more.
How FINRA’s Expungement Process Works
If you have been the subject of an unfair or downright false customer complaint, you have the right to seek an expungement request through FINRA. Contact a securities law attorney today to learn more.
Things to Know About Challenging and Enforcing Arbitration Awards
Seeking to have a FINRA arbitration award challenged or enforced can be a confusing and difficult process, so you should discuss your situation with a trusted securities law attorney to explore your options and identify the most strategic path forward.
