by Ashley Spencer | Jun 3, 2022 | Businesses, Contracts, Corporate Formation, FINRA, Mediation
At the Spencer Law Firm, we are business owner dispute attorneys. Business owner disputes comes in all forms. Most arise in smaller companies, partnership and closely held companies with few owners. Generally, business owner disputes emerge when owners have different...
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...
