by Ashley Spencer | Oct 14, 2019 | Arbitration, FINRA, Mediation
If you invest money in America and work with a broker or a firm, there’s a good chance you may have heard of FINRA. The Financial Industry Regulatory Authority defines itself as a “not-for-profit organization that – working under the supervision of the SEC –...
by Ashley Spencer | Jan 27, 2017 | Arbitration, FINRA, Mediation
FINRA is the Financial Industry Regulatory Authority. According to FINRA’s website, “FINRA provides the first line of oversight for broker-dealers and the first line of defense for investors by virtue of its comprehensive oversight program. FINRA regulates both the...
