Articles Posted in FINRA

The Financial Industry Regulatory Authority (FINRA) is a private, self-regulatory organization that regulates member brokerage firms and exchange markets. Just because you receive a Rule 8210 letter does not mean FINRA will charge you with violation of its rules or violation of securities laws. Nevertheless, the way you respond to a Rule 8210 letter can…

We aggressively protect our client’s rights, whether they’re businesses, investors, financial professionals, or whistleblowers. The tools of our trade are federal and state laws that regulate the securities industry and protect those who may be abused by it. Other laws or legal doctrines may also apply to participants in the securities industry. They include state…

This January 25, 2022 Court decision shows how corrupt FINRA’s dispute resolution process is. We don’t see this kind of a decision often because FINRA arbitrations are conducted behind closed doors, by arbitrators selected through an opaque process, by arbitrators who have virtually unfettered authority to determine the law and facts to apply, and with…