Publications

On August 11, 2023, FINRA published Regulatory Notice 23-12, which offers guidance on recent rule amendments to FINRA Rules 12800 and 12805 related to the expungement of customer dispute information from BrokerCheck.  Legal Update for Securities Litigation – August 16, 2023,

As New York City became the epicenter of the United States coronavirus outbreak in March, financial mar Legal Updates for Securities Litigation – June 17, 2020, has been prepared for our readers by Ma