Case Study- Expungement, Vacate, and Confirmation
TLDR- FINRA arbitrators can get it wrong with clearly false customer disputes and FINRA will heavily oppose any effort [...]
Recent articles
Millions of Dollars in Allegations Denied Thanks to Managing Attorney, Bessette
Experience Matters When Choosing an Investment Fraud Attorney Michael Bessette, Managing Attorney with HLBS Law, [...]
Iowa Statute Passes for Expungement of Investment Advisors Disclosures from CRD/IARD Record
Iowa HF 648 was passed into law in the state of Iowa by unanimous vote from the state senate and signed into law by [...]
Successful Expungement of a “Concern” Mistaken for a “Complaint”
One of our attorneys, William Bean handled a case that started in October of 2022 and finally came to an end this [...]
Untangling a U5 Reporting Error, Client Gets Termination Disclosure Expunged
Recently at HLBS Law, our attorneys obtained a win for a financial advisor seeking expungement over a termination [...]
Paving The Way
HLBS has paved the way for a new method of assisting financial advisors with cleaning up their regulatory records, [...]
SEC Approves New Rules by FINRA
SEC approves proposed rules by FINRA for expunging customer dispute information from BrokerCheck and the CRD Once the [...]
Impact of COVID-19 on Regulatory Investigations
As a FINRA Associated Person (“Broker”) or an Investment Advisor Representative (“IAR”), you know about COVID-19 and [...]
Impact of “Reg BI” on Expungement for Investment Advisors Representatives
As most Investment Advisor Representatives (“IARs”) are required to uphold the fiduciary standards to their clients, [...]