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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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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

October 26, 2022

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

September 26, 2022

Are you in the Business of Blessings? Here's What You Should Know About Your 501(d)

The 501(d) model of tax exemption echoes all the way back to the use of home-brewed alcohol sales by monks to help keep their monastery running. The tradition of the monastically produced alcoholic beverage goes back over 1,000 years and has yielded the discovery of many a potent potable, from the Trappist style of beer […]

Author: Christopher D. Warren

June 2, 2022

Raising Capital? Avoid Pitfalls of a Private Placement

Recently, federal securities regulators accused six people of deceiving investors in connection with unregistered securities offerings for a supposed marijuana farm and CBD extraction facility in California. Allegedly, the defendants raised $25 million from more than 400 investors from across the country promising huge returns of 100% or more. At the core of the case, […]

Author: Christopher D. Warren

August 19, 2020

How to Answer a FINRA Rule 8210 Inquiry

So, you got a letter. From FINRA. It’s about an examination. It’s a Rule 8210 letter. Now what? When you get a Rule 8210 letter from FINRA, it’s serious. This letter is telling you FINRA is launching an investigation, which you, as a registered person of FINRA, are – in some way, shape, or form […]

Author: Christopher D. Warren

July 31, 2020

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