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...
by Ashley Spencer | Aug 3, 2012 | General Legal Information
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...
