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Scarinci Hollenbeck remains committed not only to providing top-tier legal services but also to regularly providing information and resources to our client base and internet following. Client Alerts provided by our attorneys supply businesses, municipalities, and more with the latest and relevant legal updates that may impact them and how they might be able to proceed.
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How Do You Request Expungement if the Parties Settle the Arbitration? post image

How Do You Request Expungement if the Parties Settle the Arbitration?

Requesting Expungement in a FINRA Settlement Arbitration In the highly competitive financial world, any organization, manager, or owner must ensure that your business’s Central Registration Depository (CRD) doesn’t have negative customer complaints. If you are looking for FINRA settlement solutions, keep reading. Public investors often consult CRD through FINRA BrokerCheck before making investment decisions. The […]

Author: Christopher D. Warren

Link to post with title - "How Do You Request Expungement if the Parties Settle the Arbitration?"
How 2022 SEC Enforcement Trends Can Boost Compliance in the New Year post image

How 2022 SEC Enforcement Trends Can Boost Compliance in the New Year

The Securities and Exchange Commission (SEC) recently published its enforcement results for FY2022... The Securities and Exchange Commission (SEC) recently published its enforcement results for FY2022. This report is a valuable compliance resource for regulated entities and General Counsels and CCOs, who can learn a great deal from the cases that the Enforcement Division pursues […]

Author: Scarinci Hollenbeck, LLC

Link to post with title - "How 2022 SEC Enforcement Trends Can Boost Compliance in the New Year"
Should Delaware Corporate Officers Take Advantage of “Shield” Amendment to DGCL Section 102(b)(7) Allowing for Limited Exculpation of Officers? post image

Should Delaware Corporate Officers Take Advantage of “Shield” Amendment to DGCL Section 102(b)(7) Allowing for Limited Exculpation of Officers?

Should Delaware Corporate Officers Take Advantage of “Shield” Amendment to DGCL Section 102(b)(7)? When is it not a good time for corporations to conduct an annual review of their governing documents to determine if any changes are needed? Entering 2023, Delaware corporations should consider amending their certificates of incorporation to exculpate officers from personal liability […]

Author: Scarinci Hollenbeck, LLC

Link to post with title - "Should Delaware Corporate Officers Take Advantage of “Shield” Amendment to DGCL Section 102(b)(7) Allowing for Limited Exculpation of Officers?"
So Your FINRA Expungement Got Approved. What Next? post image

So Your FINRA Expungement Got Approved. What Next?

If you have an inaccurate or erroneous customer dispute on your broker’s record, getting it expunged is a no-brainer. But the FINRA expungement process isn’t easy. In fact, the agency calls expungement an “extraordinary remedy” to be used only in limited cases. But let’s say you brought on an experienced legal team who helped you […]

Author: Christopher D. Warren

Link to post with title - "So Your FINRA Expungement Got Approved. What Next?"
What Findings Are Required for FINRA Expungement? post image

What Findings Are Required for FINRA Expungement?

Under FINRA Rule 2080, broker-dealer firms, offices, and professionals in the securities industry can request customer disputes be expunged from FINRA’s public records. When reputation is so important to client trust and retention, expungement is a no-brainer. But FINRA has high standards of review and a limited appeals process to challenge decisions – you must […]

Author: Christopher D. Warren

Link to post with title - "What Findings Are Required for FINRA Expungement?"
What Happens After You Submit a FINRA Expungement Waiver Request? post image

What Happens After You Submit a FINRA Expungement Waiver Request?

If you have an inaccurate or defamatory customer dispute on your firm’s FINRA Central Registration Depository (CRD) record, you can ask the agency for expungement. But what happens after you submit a FINRA expungement waiver request? Under FINRA’s policies, expungement is an “extraordinary remedy” that’s appropriate in only limited cases. In order to successfully win […]

Author: Christopher D. Warren

Link to post with title - "What Happens After You Submit a FINRA Expungement Waiver Request?"
Claim Preclusion Leads to Early Win in Trademark Suit post image

Claim Preclusion Leads to Early Win in Trademark Suit

Could Prior TTAB Decisions Come Back to Haunt You? Claim Preclusion Leads to Early Win in Trademark Suit Over Diesel Marks The apparel and lifestyle brand Diesel recently won summary judgment on its trademark infringement and dilution claims against Diesel Power Gear LLC (“DPG”), a company featured on the Discovery Channel reality TV show Diesel […]

Author: Michael J. Sheppeard

Link to post with title - "Claim Preclusion Leads to Early Win in Trademark Suit"
Proposed New Changes to the FINRA Rule 2080 Expungement Process post image

Proposed New Changes to the FINRA Rule 2080 Expungement Process

If you have customer complaints or adverse disclosures reported on your FINRA Central Registration Depository (CRD) against you, those CRD disclosures can seriously hurt your reputation in the securities industry. FINRA CRD complaints may involve claims of sales practice violations, forgery, theft, or misappropriation or conversion of funds. In this article, we take a look […]

Author: Christopher D. Warren

Link to post with title - "Proposed New Changes to the FINRA Rule 2080 Expungement Process"
“Hackensack River Designated A Superfund Site – What It Means to Business” Virtual Event post image

“Hackensack River Designated A Superfund Site – What It Means to Business” Virtual Event

New Jersey Environmental Attorney Daniel McKillop to Discuss the EPA Adding 19 Miles of the Hackensack River to the Superfund National Priorities List in a CIANJ Virtual Event On Wednesday, October 12, 2022, Scarinci Hollenbeck Partner Dan McKillop will present “Hackensack River Designated A Superfund Site – What It Means to Business” in a virtual […]

Author: Scarinci Hollenbeck, LLC

Link to post with title - "“Hackensack River Designated A Superfund Site – What It Means to Business” Virtual Event"
Is It Necessary Under Rule 2080 to Obtain Court Confirmation of an Expungement Award? post image

Is It Necessary Under Rule 2080 to Obtain Court Confirmation of an Expungement Award?

Simply put, the answer is yes. FINRA Rule 2080 (“Rule 2080”) is complex and must be followed properly to obtain expungement of a customer complaint from an individual’s BrokerCheck report Rule 2080 requires that a court of competent jurisdiction (state or federal court) confirm an expungement award before FINRA will remove a customer complaint from […]

Author: Christopher D. Warren

Link to post with title - "Is It Necessary Under Rule 2080 to Obtain Court Confirmation of an Expungement Award?"
New Jersey Employer Guidance Regarding Employee Cannabis Impairment At Work post image

New Jersey Employer Guidance Regarding Employee Cannabis Impairment At Work

The legalization of cannabis has created numerous challenges for New Jersey employers who desire a drugfree workplace… The legalization of cannabis has created numerous challenges for New Jersey employers who desire a drugfree workplace, particularly when they suspect an employee is under the influence of cannabis at work.  The question most New Jersey employers have […]

Author: Daniel T. McKillop

Link to post with title - "New Jersey Employer Guidance Regarding Employee Cannabis Impairment At Work"
How Will Lower Hackensack River Superfund Designation Impact New Jersey Businesses?  post image

How Will Lower Hackensack River Superfund Designation Impact New Jersey Businesses? 

On September 7, 2022, the Environmental Protection Agency (EPA) announced that it is adding the Lower Hackensack River in Bergen and Hudson counties to the Superfund National Priorities List (NPL). On September 7, 2022, the Environmental Protection Agency (EPA) announced that it is adding the Lower Hackensack River in Bergen and Hudson counties to the […]

Author: Daniel T. McKillop

Link to post with title - "How Will Lower Hackensack River Superfund Designation Impact New Jersey Businesses? "

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