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 [...]

Beware The Agent….

By | August 3rd, 2012|Categories: General Legal Information|Tags: , , |

Beware the Agent… In Texas, we like to believe that we are as good as our word. We don’t lie. We don’t cheat. We do the right thing. Well…think again. Regularly, I see small businesses come in with the same problem: They were hired to perform a service and then weren’t paid. There are as [...]