Month: September 2022

Confirmation of an Expungement Reward

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

By Jon-Jorge Aras / September 26, 2022
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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…

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Warren Law Group Welcomes Scott J. Oh as Partner

By Warren Law Group / September 22, 2022
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                                             FOR IMMEDIATE RELEASE Contact: Katie Lenda Email: katie@warren.law                                                                      Scott J. Oh: Partner at Warren Law Group [NEW YORK, NEW YORK, September 2022] — Warren Law Group is pleased to announce Scott J. Oh as a Partner. Scott brings twenty-five years of transactional and business experience to middle-market companies. Scott has extensive experience…

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What Type of Information Can Be Expunged Under Rule 2080

By Christopher D. Warren / September 12, 2022
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The Financial Industry Regulatory Authority (FINRA) is a self-regulatory agency that oversees all activity within the securities industry. One common area of regulatory scrutiny is customer complaints. Customers of brokers and broker-dealers can file written complaints related to the management of their investments. A written customer complaint (and in some cases oral complaints) becomes part…

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New Laws & Challenges in the ISA Market: How to Stay in Legal Compliance

By Christopher D. Warren / September 1, 2022
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Income Share Agreements (“ISAs”) started out as a way to finance student tuition in higher education. They’ve since expanded to fund attendance at vocational, coding, culinary, and other types of specialty career training schools in marketing, tech, and even venture capital. As a financial instrument, ISAs occupy a nebulous middle ground – they’re not quite…

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