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FINRA protects investors, brokers in the securities industry – Part 1

By | October 14th, 2019|Categories: Arbitration, FINRA, Mediation|Tags: , , , , |

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 – actively engages with and provides essential tools for investors, member [...]

What Is FINRA?

By | January 27th, 2017|Categories: Arbitration, FINRA, Mediation|Tags: , , , , , , |

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 firms and professionals selling securities in the United States and the U.S. securities markets. In this [...]