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