OVERVIEW In December, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 17-42, requesting comment on proposed changes to the expungement process for customer dispute information. Through requests for expungement, associated persons seek to remove allegations made by customers from the Central Registration Depository (“CRD”) and from FINRA’s publicly-accessible BrokerCheck system (which draws information from […]
A law firm devoted to securities industry services and special education cases.
We are driven by our commitment to our clients and guided by our integrity.
Securities Industry Services
Todd Ratner PLC represents wirehouses, regional firms, independent broker-dealers, bank broker-dealers, registered investment advisors, and individuals associated with each of these varied business models, helping our clients avoid or resolve disputes.
Special Education Services
We represent students with disabilities and their parents who need assistance securing the free appropriate education to which they are entitled under the law. Appropriate education is essential for children to reach their potential and secure a bright future.
News & Resources
An amendment to FINRA Rule 2210 (Communications with the Public) has taken effect as of June 6, 2016. Originally announced in Regulatory Notice 15-50, the amendment adds new sections (d)(8)(A) and (B) to the rule, requiring member firms to include “a readily apparent reference and hyperlink to BrokerCheck” on certain web pages intended to be viewed […]
In these days, it is doubtful that any child may reasonably be expected to succeed in life if he is denied the opportunity of an education. Brown vs. Board of Education, 347 U.S. 483, 493 (1954) The Supreme Court’s landmark decision in the case of Brown vs. Board of Education paved the way for historic […]