FINRA BrokerCheck CRD Expungement Attorney
SR-FINRA-2022-024 Comment Letters James P. Galvin’s Second Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 James P. Galvin’s Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 Read More
SR-FINRA-2022-024 Comment Letters James P. Galvin’s Second Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 James P. Galvin’s Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 Read More
FINRA CRD Expungement Proposed Rule Change On November 10, 2022, the SEC issued an order instituting proceedings to determine whether to approve or disapprove FINRA’s proposal, as modified by Amendment No. 1, to amend the Codes of Arbitration Read More
Regulatory Notice 21-09 FINRA released Regulatory Notice 21-09 on March 10, 2021 and has announced that the new rules will come into effect on September 1, 2021. The new rules could significantly affect your ability to associate with broker-dealers. Read More
On September 3, 2024, Galvin Legal filed claims in FINRA’s Dispute Resolution forum against Taglich Brothers, Michael Taglich, Robert Taglich, and Richard Oh. The claims arise out of the Respondents’ alleged multi-decade billion dollar fraud involving multiple private placement investments, including, but not limited to, BioVentrix, Dilon Technologies, AutoNet, and SCOLR.
Did you lose money investing with Kenneth Byrne (CRD# 1191939)? Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Kenneth Byrne. If you suffered losses investing with Kenneth Byrne, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial IndustryRead More
