How FINRA’s New Rules Have Affected the Expungement Process for Financial Advisors
FINRA’s amended rules have made the expungement process more selective and challenging for financial advisors looking to have unfair customer complaints removed from their BrokerCheck profiles. Contact a securities law attorney today to learn more about your options.
Tosh Grebenik Wins The Top 100 Magazine Award
We are pleased to announce that Tosh Grebenik of Judex Law has been certified as a Top Rated Lawyer in 2024 by The Top 100 Magazine.
How to Prevent Customer Disputes From Escalating into Tense Battles With FINRA
Securities advisors hoping to reduce the potential for customer disputes appearing on BrokerCheck can take steps to minimize conflicts. Learn more today by discussing your options with a dedicated and experienced securities law attorney.
Should I Hire an Attorney to Represent Me in a FINRA Arbitration Dispute?
Although FINRA allows parties to represent themselves in arbitration and mediation proceedings, hiring a skilled lawyer has several advantages. Discuss your options with a knowledgeable securities law attorney today to learn more.
What FINRA’s Lastest Arbitration Statistics Through August 2024 Reveal
FINRA released the latest arbitration case filing statistics from January through August 2024, reflecting a decrease from the previous year. Here’s what this data could mean for the financial industry.
Steps to Take if You’re Under Investigation By the SEC
Being the subject of an SEC investigation can be stressful, especially if you know the allegations against you or your business are unfounded. Taking steps like hiring an attorney and preparing for each step of the upcoming process can empower you to move forward with greater confidence.
FAQs About FINRA’s Expungement Request Process for Financial Advisors
FINRA’s recently enacted rule changes to the expungement request process may still be confusing for financial advisors. Working with a knowledgeable securities law attorney is the best way to make informed decisions with greater certainty.
FINRA Addresses the Use of Artificial Intelligence Tools in Arbitration Proceedings
FINRA recently warned arbitrators that the use of artificial intelligence (AI) tools is prohibited when serving on a case. Here’s what this means for advisors and member firms.
FINRA Releases Latest Arbitration Case Filings and Trends Data Through May 2024
FINRA recently released the latest arbitration case filings and trends through May 2024, which show a decrease from the previous year. Learn more about what these most up-to-date statistics mean for financial advisors and member firms.
How FINRA’s Revised Rules Impact Special Arbitrators and Expungement Requests
When the SEC approved FINRA’s rule changes for the expungement relief process, new policies for specially-trained arbitrators were also activated. Here’s what they mean and how they could affect a financial advisor’s expungement relief request.
