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Business Law

A recent California appellate court decision has greatly expanded the ability of licensed securities brokers to expunge complaints and adverse actions from their Broker Check report, which is maintained by the Financial Industry Regulatory Authority (FINRA). This memo provides background about FINRA, the court’s decision and expungement of information made public by FINRA. Higbee &  →

In the last week, Higbee & Associates helped two clients get back to work by winning FDIC’s Section 19 Approval to work at FDIC insured institutions. ┬áBoth individuals had been working in the banking industry for several years and had established distinguished careers in this industry. However, in the summer of last year both individuals  →

The June 27, 2011 issue of the The Daily Journal featured front-page story co-authored by Higbee & Associates attorneys Mathew Higbee and Josh Malter. The story discussed the how recent legislation is causing those with careers in the banking industry to lose their jobs because of low-level misdemeanors. The article pointed out that the Secure  →