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.
Judex Law, LLC is a full-service securities and business law firm located in Broomfield, Colorado. We handle a range of securities law matters, including disclosures, broker/securities fraud and negligence, state regulatory defense, securities compliance, FINRA complaint expungement, and arbitration. We also help small businesses and startups with business formation, employment policies, operating agreements, partnership agreements, business taxes, and contracts.
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