Recent Posts in FINRA

  • 22-Dec-2016

    Background Checks and ACDs

    Many professionals - especially those that work in the finance industry - are unpleasantly surprised when records of a prior case they believed to be sealed pursuant to an ACD have been discovered by prospective employers who conduct background ...
  • 3-Nov-2016

    FINRA Background Checks and Sealing Services

    Criminal arrests can have especially complicated consequences for FINRA-registered securities broker-dealers. Everyone who has been arrested probably remembers having their fingerprints taken by the police during the arrest process. In most ...
  • 9-Aug-2010

    Zachary H. Johnson of GJLLP Wins FINRA Arbitration

    Zachary H. Johnson of Galluzzo & Arnone LLP successfully represented Eric Butler in a FINRA arbitration against Morgan Stanley involving a dispute over signing bonuses paid to Mr. Butler when he joined Morgan Stanley. The case resulted in a win ...