FINRA’s Newly Enacted Rules Lead to Fewer Expungement Requests From Advisors
FINRA’s newly enacted rules have prompted a decline in the number of advisor requests for expungement. As a financial advisor, you can explore your options for expungement with a dedicated and experienced securities law attorney.
FINRA Releases Comprehensive Dispute Resolution Statistics For 2023
According to FINRA’s most recent arbitration case filings and trends statistics for 2023, the number of case filings rose by 27 percent from 2022 to 2023. Interestingly, the first few months of 2024 saw a decrease in case filings. Here are the latest takeaways from the recently released findings.