Understanding the Role of a FINRA Arbitration Chairperson
As a financial advisor involved in FINRA arbitration, it’s natural to feel concerned about the panel’s ruling. Enlisting the support of an experienced and understanding securities law attorney is the best way to ensure you can move through these proceedings with confidence.
How FINRA is Expanding Disciplinary and Enforcement Efforts in 2022
Some of FINRA’s efforts may unfairly target financial advisors and cause significant stress and anxiety as they participate in investigations involving inaccurate or false allegations. Contact an experienced securities law attorney today to learn more.
Ethics & E-Discovery During the FINRA Arbitration Process
If you receive a letter from FINRA informing you of your involvement in an investigation, it’s natural to feel concerned about how this will impact you. Take some time to talk to potential attorneys to get a sense of their style and approach to FINRA-related matters.
The Latest Updates on FINRA Rule 4111
FINRA Rule 4111 aims to impose greater penalties on broker-dealer firms that exhibit a “significant history of misconduct.” Talk to a knowledgeable securities law attorney today to learn more.
The Latest FINRA Arbitration Hearing Statistics
Overall, FINRA arbitration case filings from January 2021 through November 2021 were down from the same 11-month period in 2020. If you need help preparing for an upcoming hearing, reach out to a knowledgeable securities law attorney today.
Why FINRA’s Arbitrator Disclosure Rules Matter
Those working in the financial industry should understand that FINRA also holds its panel of arbitrators to certain standards. If an arbitrator fails to fully disclose any potential sources of bias, the arbitration awards may be vacated and the arbitrator may be removed from the formal roster.
FAQs About FINRA’s Newly Adopted Rule 4111
FINRA Rule 4111 requires member firms designated as “Restricted Firms” to pay cash or qualified securities into a separate account and adhere to specific rules and obligations. Reach out to a knowledgeable securities law attorney to learn more.
How to Respond to a FINRA Rule 8210 Request
Receiving a Rule 8210 request can be stressful, and it’s natural to wonder how this investigation will impact your career and professional reputation. Enlist the help of a skilled securities law attorney today to learn more.
What New FINRA Rule 9561 Means for Brokerage Firms and Financial Advisors
The Financial Industry Regulatory Authority (FINRA) adopted several new rule changes, many of which specifically target firms with a significant history of misconduct. Talk to a skilled securities law attorney today to learn more.
FINRA CRD Expungement FAQs
Even one unfair customer dispute can appear on your BrokerCheck report, complicating your prospects of growing your business or qualifying for another position in the financial services industry. Talk to a securities attorney today to explore your options.