Challenges to Defending Form U5 Expungement Claims
Mar 26, 2019

Challenges to Defending Form U5 Expungement Claims

By Jessica E. Levine

Within thirty days of terminating an associated person’s registration, FINRA member firms are required to file a Uniform Termination Notice… More

Jan 9, 2019

FINRA Eligibility Rule is Another Hurdle to Expungement

By Denis Dice

Registered representatives associated with FINRA member firms (“stockbrokers”) are often times the subject of public customer complaints regarding their investments… More

Upcoming Events

May 7-8
2019

William G. Winget to co-chair 15th Annual Directors and Officers Liability Insurance ExecuSummit at Mohegan Sun in Uncasville, CT.  Learn more here.

Jun 18-19
2019

Jody N. Cappello to co-chair 13th Annual E&O Insurance ExecuSummit at Mohegan Sun in Uncasville, CT.  Learn more here.

Jun 20-21
2019

WSSLLP is proud to sponsor the 2019 CLM Midwest Conference in Chicago, IL.  Click here for more info.

Jul 10-12
2019

WSSLLP is proud to sponsor the 2019 CLM Cyber, Management, and Professional Liability Conference in Boston, MA. Click here for more info.

Upcoming Events

May 7-8
2019

William G. Winget to co-chair 15th Annual Directors and Officers Liability Insurance ExecuSummit at Mohegan Sun in Uncasville, CT.  Learn more here.

Jun 18-19
2019

Jody N. Cappello to co-chair 13th Annual E&O Insurance ExecuSummit at Mohegan Sun in Uncasville, CT.  Learn more here.

Jun 20-21
2019

WSSLLP is proud to sponsor the 2019 CLM Midwest Conference in Chicago, IL.  Click here for more info.

Jul 10-12
2019

WSSLLP is proud to sponsor the 2019 CLM Cyber, Management, and Professional Liability Conference in Boston, MA. Click here for more info.