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.

Understanding the Latest SEC Enforcement Results for 2022

The SEC released its annual summary of all actions brought by the Division of Enforcement over 2022’s fiscal year. As the Division takes a more proactive approach to enforcement, financial advisors and member firms should seek legal counsel as soon as a potential issue arises.