Writings by Jon-Jorge Aras

Partner Jon-Jorge Aras primarily focuses his practice on securities law and white-collar criminal defense. Jon-Jorge has extensive experience defending civil and criminal actions initiated by the U.S. Securities and Exchange Commission, the U.S. Department of Justice, FINRA, and state regulatory agencies. He handles every stage of an enforcement matter, starting with the investigation and taking it through trial. Jon-Jorge has built formidable litigation experience over his career and is a fierce advocate for his clients. Jon-Jorge frequently speaks on white-collar crime. Securities, and cryptocurrency matters and has appeared on Bloomberg, CBS, and Fox News.

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Why FINRA Expungements Can Remove Damaging Form U5 Disclosures

Because Form U5 filings are available to regulators, state agencies, and potential employers, misleading or inaccurate information can threaten the livelihood of broker-dealers, registered investment advisers, and other FINRA-registered financial professionals. To protect your reputation, it is imperative to take prompt legal action, which may involve seeking FINRA expungements. FINRA Expungements: When a Form U5 […]

Author: Jon-Jorge Aras

January 23, 2024

Recent Changes and Trends in FINRA Expungement: Insights for Financial Advisors

The FINRA expungement process allows brokers, financial advisors, and other registered financial professionals to clear their names in response to unfounded or inaccurate allegations. Because the process can be challenging to navigate, particularly in light of recent amendments to FINRA’s expungement rules, it is advisable to work with an experienced FINRA expungement attorney. Navigating the […]

Author: Jon-Jorge Aras

October 17, 2023

FINRA Expungement

SEC Brings Its First NFT Enforcement Action

The Securities and Exchange Commission (SEC) recently brought its first enforcement action involving non-fungible tokens or NFTs. The charges signal that the SEC is likely ramping up its efforts to police the marketplace. Explosion of NFT Marketplace The popularity of NFTs has skyrocketed in recent years. NFTs are generally defined as unique digital identifiers that […]

Author: Jon-Jorge Aras

August 29, 2023

SEC Proposes Regulation Targeting AI Advising

The Securities and Exchange Commission (SEC) is cracking down on using artificial intelligence in financial advising. The agency recently proposed regulations. These regulations would necessitate broker-dealers and investment advisers to address conflicts of interest. These conflicts are associated with their use of predictive data analytics and similar technologies in interactions with investors. “We live in […]

Author: Jon-Jorge Aras

July 30, 2023

Financial Regulations

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