Frequently Asked Questions (FAQs)
FINRA Expungement Basics How does FINRA expungement work? FINRA expungement is a legal process where an arbitrator (and [...]
Recent articles
COVID-19 and Financial Advisors: Were You Unfairly Harmed by Your Firm?
Summary of Keypoints The COVID-19 pandemic reshaped the financial services industry in ways few could have predicted. [...]
The HLBS team supports the High-Profile Clawback Case
Summary of Keypoints AdvisorHub, a leading voice in the financial services industry, recently published an article [...]
How to Find a Good Securities Arbitration Attorney
Summary of Keypoints For financial advisors facing FINRA arbitration, choosing the right legal representation can make [...]
Does FINRA Have Enforcement Authority?
Summary of Keypoints Financial advisors and securities professionals often ask about the scope and limitations of [...]
Common FINRA Violations
Summary of Keypoints Financial advisors operate in a highly regulated environment where compliance failures can lead to [...]
FINRA Arbitration Guide: What Financial Advisors Need to Know
Summary of Keypoints For financial advisors facing disputes with clients or employers, the FINRA arbitration process [...]
How do I Check My U5?
Summary of Keypoints FINRA attorneys who represent financial advisors through regulatory challenges often encounter a [...]
How Do I Get My FINRA Record Expunged
Summary of Keypoints For financial advisors, the information contained in their FINRA record can significantly impact [...]