Welcome to Our Resource Library

Stay informed and inspired with the latest updates, insights, and events from Scarinci Hollenbeck. Our resource library provides valuable content across a range of categories to keep you connected and ahead of the curve.

Client Alert

Library

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.

1-12 of 52

Angela Turiano to Serve as Mock Arbitrator for Fordham Law Securities Arbitration Clinic

On Thursday, April 3, 2025, Partner Angela Turiano will make her fifth appearance as a mock arbitrator for the Securities Arbitration Clinic at the prestigious Fordham School of Law. Angela will draw on her years of experience to provide feedback to these future lawyers after making opening presentations and closing arguments, with the goal of […]

Author: Angela A. Turiano

March 27, 2025

FinCEN Registration Process

The Bank Secrecy Act (BSA) requires certain businesses to register with the U.S. Treasury Department’s Financial Crimes Enforcement Network (FinCEN). Money services businesses (MSBs) must comply with the BSA requirements applicable to financial institutions as well as the specific requirements applicable to MSBs, including FinCEN registration. FinCEN Registration Process: Who Needs to Register with FinCEN? […]

Author: Angela A. Turiano

September 16, 2024

Real Estate Securities Basics

Real estate securities provide investors with the benefits of owning commercial real estate without expending large amounts of capital. They also generate stable returns, which has resulted in rapid growth of the real estate securities market. However, before diving into real estate investments, it is important to understand the unique features of this asset class. […]

Author: Dan Brecher

September 12, 2024

NY Securities Litigator Angela Turiano to Lecture at the University of Miami School of Law

Scarinci Hollenbeck Partner & Securities Litigator Angela Turiano to be Featured as Guest Lecturer for Investor Law Clinic On Thursday, September 3, 2024, Angela Turiano will be featured as a guest lecturer at the Investor Law Clinic of the University of Miami School of Law. Notably, this is the second year in a row that […]

Author: Angela A. Turiano

August 27, 2024

FINRA Rule 3110 Explained

Known as the “Supervision Rule,” FINRA Rule 3110 requires brokerage firms to establish, maintain, and enforce a system to supervise the activities of their associated persons. The rule stipulates that the system of supervision should be reasonably designed to achieve compliance with all applicable regulations established by the Financial Industry Regulatory Authority (FINRA) and the […]

Author: Angela A. Turiano

April 10, 2024

Why FINRA Expungements Can Remove Damaging Form U5 Disclosures

Because Form U5 filings are available to regulators, state agencies, and potential employers, misleading or inaccurate information can threaten the livelihood of broker-dealers, registered investment advisers, and other FINRA-registered financial professionals. To protect your reputation, it is imperative to take prompt legal action, which may involve seeking FINRA expungements. FINRA Expungements: When a Form U5 […]

Author: Scarinci Hollenbeck, LLC

January 23, 2024

Recent Changes and Trends in FINRA Expungement: Insights for Financial Advisors

The FINRA expungement process allows brokers, financial advisors, and other registered financial professionals to clear their names in response to unfounded or inaccurate allegations. Because the process can be challenging to navigate, particularly in light of recent amendments to FINRA’s expungement rules, it is advisable to work with an experienced FINRA expungement attorney. Navigating the […]

Author: Scarinci Hollenbeck, LLC

October 17, 2023

FINRA Expungement

FTC Stepping Up Scrutiny of Online Endorsements and Business Reviews - Are You Prepared?

The Federal Trade Commission (FTC) recently updated its Guides Concerning the Use of Endorsements and Testimonials — better known as the “Endorsement Guides.” The Federal Trade Commission (FTC) recently updated its Guides Concerning the Use of Endorsements and Testimonials — better known as the “Endorsement Guides.” The FTC also proposed a new rule that would give the FTC […]

Author: Dan Brecher

July 28, 2023

3 Things You Need to Know After Receiving a Subpoena from the SEC

The Scarinci Hollenbeck, LLC represents clients under investigation by the Securities and Exchange Commission (SEC), and other regulatory authorities. Our firm has worked on securities regulatory cases, white-collar defense cases and corporate governance matters for many years. This article will examine three things you should know when you receive a subpoena from SEC. What Is […]

Author: Christopher D. Warren

April 1, 2023

Why Wouldn’t my FINRA Expungement Go Through?

FINRA Rule 2080 allows FINRA-registered financial professionals (RFPs) or broker-dealer firms to expunge complaints lodged against them from the Central Registration Depository (CRD) system. CRD is a source of information accessible to the public through BrokerCheck. BrokerCheck is a unique and free tool that gives investors information involving regulatory actions, arbitrations and complaints, broker’s employment […]

Author: Christopher D. Warren

January 26, 2023

How Does FINRA Determine the Standards for Expungement of Customer Dispute Information?

The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization, a not-for-profit, non-governmental regulator for all broker-dealer firms and brokers that sell securities in the United States. FINRA protects investors by ensuring that broker-dealers and brokerage firms operate fairly and honestly. Brokers and FINRA-registered financial professionals often come to us when looking to settle a […]

Author: Christopher D. Warren

January 11, 2023

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

January 6, 2023

First
Previous
1(current)
2
3
4
5
Next
Last

Sign up to get the latest from our attorneys!

Explore What Matters Most to You.

Consider subscribing to our Firm Insights mailing list by clicking the button below so you can keep up to date with the firm`s latest articles covering various legal topics.