Arbitration is a form of alternative dispute resolution that is often used in the place of traditional litigation. In the securities industry, most complaints against[...]
Financial Industry Regulatory Authority (FINRA)
Do you have a complaint against your stockbroker or your brokerage firm? If so, you will likely need to pursue compensation through the arbitration process[...]
If you are an investor and you have a claim against your broker or brokerage firm, you will likely be required to go through FINRA’s[...]
FINRA Expert Witness Overview For the most part, if you have a claim against your broker or brokerage firm, it will need to be resolved[...]
Discretionary accounts are trading accounts in which a broker is empowered with the authority to make individual transactions without seeking client approval. When operating these[...]
FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. For the most part, this type[...]
This article was originally published by Reuters.com. FINRA – the industry-financed overseer of brokerages – knows which firms tend to employ advisers with histories of[...]
In the modern world, most brokers and brokerage firms require their customers to sign a customer agreement before entering into a relationship. Typically, that agreement[...]
FINRA Rule 8210 allows FINRA officials to compel industry members, including registered financial advisors and brokerage firms, to cooperate with investigations. Indeed, under the rule,[...]
This article was originally published by InvestmentNews.com. The Financial Industry Regulatory Authority Inc. has requested comments as part of a review of its rules that[...]