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.
FINRA’s Newly Enacted Rules Lead to Fewer Expungement Requests From Advisors
FINRA’s newly enacted rules have prompted a decline in the number of advisor requests for expungement. As a financial advisor, you can explore your options for expungement with a dedicated and experienced securities law attorney.
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.
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.
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.
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.
