In general, legal damages are designed to be ‘compensatory’ in nature. This means that victims are entitled to seek a financial recovery that is equivalent[...]
Financial Industry Regulatory Authority (FINRA)
Brokers and brokerage firms each owe their clients a fiduciary duty. This means that they have a professional obligation to always put the best interests[...]
Understanding FINRA Discovery Rules Discovery is the foundation of every successful legal case. As explained most simply by the American Bar Association (ABA), discovery is[...]
What is FINRA Rule 2010? FINRA Rule 2010 is perhaps the single most important securities industry regulation. The rule requires that all industry members conduct[...]
What is FINRA Rule 2150? The Financial Industry Regulatory Authority (FINRA) is a non-governmental body that is tasked with self-regulating firms and individuals in the[...]
In the United States, a financial broker must obtain a license before they can legally sell securities. Likewise, a brokerage firm must be properly licensed[...]
FINRA rule 5240 is one in a series of regulations that helps to protect investors from fraud and other types of market manipulation. More specifically,[...]
Generally speaking, investments advisers are in the role of trying to predict what positions will go up and what will go down. While there are[...]