How FINRA’s Expungement Reforms Have Affected Brokers Looking to Clear Complaints
FINRA’s expungement reforms have reduced the number of brokers who have successfully had customer complaints removed. Discuss your options today with a highly trusted and experienced securities law attorney.
What the FINRA Forward Initiative Means For Financial Advisors and Member Firms
In April 2025, the FINRA Forward initiative was launched to further FINRA’s mission to protect investors. Here’s what financial advisors and member firms need to know as these new initiatives unfold.
Key Times When Financial Advisors Need a Regulatory Defense Lawyer
As a financial advisor, there are times when it’s highly recommended to enlist the services of an experienced and trusted regulatory defense attorney. Learn more today.
Your Step-By-Step Guide to the FINRA Expungement Request Process
While the FINRA expungement request process may seem daunting for financial advisors, working with an experienced attorney can empower you to move forward with greater clarity and confidence.
FINRA Releases the Most Recent Rule Amendments for Arbitration Procedures
Financial advisors seeking a FINRA expungement request may want to familiarize themselves with the latest amendments and rule changes. Learn more today by discussing your concerns with a highly qualified and friendly securities law attorney.
How FINRA’s New Rules Have Affected the Expungement Process for Financial Advisors
FINRA’s amended rules have made the expungement process more selective and challenging for financial advisors looking to have unfair customer complaints removed from their BrokerCheck profiles. Contact a securities law attorney today to learn more about your options.
How to Prevent Customer Disputes From Escalating into Tense Battles With FINRA
Securities advisors hoping to reduce the potential for customer disputes appearing on BrokerCheck can take steps to minimize conflicts. Learn more today by discussing your options with a dedicated and experienced securities law attorney.
Should I Hire an Attorney to Represent Me in a FINRA Arbitration Dispute?
Although FINRA allows parties to represent themselves in arbitration and mediation proceedings, hiring a skilled lawyer has several advantages. Discuss your options with a knowledgeable securities law attorney today to learn more.
What FINRA’s Lastest Arbitration Statistics Through August 2024 Reveal
FINRA released the latest arbitration case filing statistics from January through August 2024, reflecting a decrease from the previous year. Here’s what this data could mean for the financial industry.
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.