FINRA recently issued Notice to Members 17-42, which proposes sweeping changes to the process by which a securities broker may seek to expunge reference to a customer complaint from
Continue Reading FINRA Plans Major Changes to Expungement Rules
John K. Wells
John Wells focuses his practice in the areas of complex commercial litigation, securities litigation and regulatory matters. He frequently represents financial services clients, including broker-dealers, investment advisors, banks and private equity funds, in matters before the Securities and Exchange Commission, Financial Industry Regulatory Authority, U.S. Department of Justice and state regulatory authorities, as well as in state and federal courts and arbitration forums across the country. John has broad experience in a wide variety of litigation matters, including contract disputes, business torts, employment matters, restrictive covenants, securities fraud and securities class actions, multi-district litigation, shareholder and partnership disputes, products liability, wrongful death and real estate litigation. John also manages corporate internal investigations across multiple jurisdictions and industries.