FINRA BrokerCheck CRD Expungement Attorney
Galvin Legal challenged FINRA Overreach and Forced a Rule Change on Hearing Record Access. At Galvin Legal, PLLC, we are committed to ensuring fairness for registered representatives within the FINRA dispute resolution system. A critical aspect of Read More
[pdf-embedder url="https://www.galvinlegal.com/wp-content/uploads/2023/05/2023-05-09-Comment-Letter-re-SR-FINRA-2022-024.pdf"] SR-FINRA-2022-024 Comment Letters James P. Galvin’s Second Comment Letter to FINRA’s Proposed Expungement Rule Read More
[pdf-embedder url="https://www.galvinlegal.com/wp-content/uploads/2023/04/Second-Addendum-to-Comment-Letter-re-SR-FINRA-2022-024.pdf"] SR-FINRA-2022-024 Comment Letters James P. Galvin’s Second Comment Letter to FINRA’s Proposed Expungement Read More
[pdf-embedder url="https://www.galvinlegal.com/addendum-to-comment-letter-re-sr-finra-2022-024"] SR-FINRA-2022-024 Comment Letters James P. Galvin’s Second Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 Read More
Galvin Legal challenged FINRA Overreach and Forced a Rule Change on Hearing Record Access. At Galvin Legal, PLLC, we are committed to ensuring fairness for registered representatives within the FINRA dispute resolution system. A critical aspect of this commitment involves holding FINRA accountable to its own rules and the law. A notable example of thisRead More
[pdf-embedder url=”https://www.galvinlegal.com/wp-content/uploads/2023/05/2023-05-09-Comment-Letter-re-SR-FINRA-2022-024.pdf”] 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 Addendum to James P. Galvin’s Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 Second Addendum to James P. Galvin’s Comment LetterRead More
