How FINRA’s Expungement Reforms Have Affected Brokers Looking to Clear Complaints
FINRA’s expungement reforms have reduced the number of brokers who have successfully had customer complaints removed. Discuss your options today with a highly trusted and experienced securities law attorney.
Under Investigation By The SEC For Securities Fraud? Everything You Need to Know
SEC investigations can be intimidating, but partnering with an experienced SEC defense lawyer allows you to move forward with greater understanding and ease. Learn more today by discussing your concerns with a trusted and friendly securities fraud defense attorney.
How Customer Complaints Affect Financial Advisors And What You Can Do About Them
Unfair or baseless customer complaints or disclosures on BrokerCheck can severely impact a financial advisor’s reputation. Work with a trusted and experienced securities law attorney to learn about the steps you can take to reduce the effects and restore client confidence.
What the FINRA Forward Initiative Means For Financial Advisors and Member Firms
In April 2025, the FINRA Forward initiative was launched to further FINRA’s mission to protect investors. Here’s what financial advisors and member firms need to know as these new initiatives unfold.
Key Times When Financial Advisors Need a Regulatory Defense Lawyer
As a financial advisor, there are times when it’s highly recommended to enlist the services of an experienced and trusted regulatory defense attorney. Learn more today.
Your Step-By-Step Guide to the FINRA Expungement Request Process
While the FINRA expungement request process may seem daunting for financial advisors, working with an experienced attorney can empower you to move forward with greater clarity and confidence.
FINRA Releases the Most Recent Rule Amendments for Arbitration Procedures
Financial advisors seeking a FINRA expungement request may want to familiarize themselves with the latest amendments and rule changes. Learn more today by discussing your concerns with a highly qualified and friendly securities law attorney.
FINRA’s Latest Arbitration Case Filings and Trends: Key Takeaways So Far For 2025
The latest case filings and trends reported by FINRA indicate a notable decrease in cases filed in both 2024 and 2025. Learn more about what these trends could mean for the securities industry and discuss your concerns with a trusted attorney today.
Assessing the New Administration’s Potential Impact on FINRA Enforcement Actions
Financial advisors want to know how the new administration’s priorities and goals could affect SEC and FINRA enforcement actions. Learn more today by discussing your concerns with a knowledgeable and highly qualified securities law attorney.
Navigating a FINRA Investigation: How to Respond to Rule 8210 Requests and Prepare for On-The-Record (OTR) Interviews
Receiving a FINRA 8210 request for an on-the-record interview can be intimidating, but working with a trusted attorney can help you respond strategically. Reach out to an experienced FINRA enforcement defense attorney today to learn more about your legal rights and options.