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
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
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
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 Letter to FINRA’sRead More
