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.
Understanding the Latest Facts and Trends From FINRA
It can be difficult to keep up with the nuances of FINRA’s proposed rule changes, their potential impact, and the timeline for their implementation. A securities law attorney can answer your questions, address your concerns, and help you face the matter with greater clarity and confidence.
Understanding How FINRA’s Expungement Process Works
The Financial Industry Regulatory Authority (FINRA) allows brokers to seek an expungement of customer dispute information, but the process can be lengthy and stressful. Working with a legal professional who understands the ins and outs of the process is highly recommended.
Steps to Take in Response to a FINRA 8210 Letter
A FINRA 8210 letter is essentially a formal request for documents or other information that may be relevant to a potential or ongoing FINRA investigation. Notify your firm right away and contact a knowledgeable FINRA defense attorney to ensure you move forward as strategically as possible.
The Lowdown on How FINRA Rule 4111 May Impact Financial Advisors and Member Firms
As FINRA’s “Evaluation Date” moves closer and new rule 4111 starts to take effect, it’s time to prepare for how it may impact member firms and financial advisors. Call a skilled securities law attorney today to learn more.
SEC Proposes New Rules to Revise Dealer Registration Requirements
The Securities and Exchange Commission (SEC) has proposed two new rules that aim to expand dealer registration requirements. Discuss the implications of these new rules with a skilled securities law attorney today to learn more.
How Often Does FINRA Grant Expungement Requests?
If you decide to pursue an expungement request through FINRA to have this information removed, work with an experienced securities law attorney to ensure you navigate this process with clarity and confidence.
How FINRA Virtual Arbitration Hearings Differ From In-Person Hearings
Instead of in-person hearings, FINRA offered virtual arbitration hearings that came with their own set of challenges. From navigating technical challenges to understanding your role in the process, it’s helpful to consult a skilled securities law attorney for help.
Examining Recent Criticisms of FINRA Rule 4111
FINRA Rule 411 allows the entity to evaluate its 3,400 broker-dealers once annually to determine which firms should be designated “restricted firms.” However, people are concerned about prematurely labeling a firm as “restricted” before finding it guilty of misconduct.