by Connor Trafton | Oct 12, 2020 | Homepage News, Securities Alerts
FINRA recently submitted to the SEC proposed changes to its expungement rules that would significantly limit a broker’s ability to remove disclosures from their Central Registration Depository (CRD) record. These changes, contained in a 557-page document filed on...
by Ryan Lean | Feb 27, 2020 | Homepage News, Securities Alerts
On February 26, 2020, the United States Supreme Court issued a unanimous opinion holding that, for purposes of ERISA’s three-year statute of limitations for fiduciary breach claims, participants in a retirement plan have “actual knowledge” of information only if they...
