When you start investing with a broker/broker-dealer, you will almost certainly be asked to review and sign a lot of paperwork. Within that paperwork, you[…]
Financial Industry Regulatory Authority (FINRA)
The Financial Industry Regulatory Authority (FINRA) offers tools and a key dispute resolution forum for investors to protect themselves against fraudulent and unqualified brokers. The articles below will help you learn more about FINRA and Sonn Law Group’s services for FINRA arbitration.
To speak with a legal professional about your FINRA arbitration needs, please feel free to call us now at 844-689-5754.
In general, legal damages are designed to be ‘compensatory’ in nature. This means that victims are entitled to seek a financial recovery that is equivalent[…]
A statute of limitation is a legal rule that controls the deadline by which a legal claim must be filed. If the statute of limitations[…]
Brokers and brokerage firms each owe their clients a fiduciary duty. This means that they have a professional obligation to always put the best interests[…]
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that oversees the securities industry. Under FINRA rules, when a customer files a complaint against[…]
Discovery is the foundation of every successful legal case. As explained most simply by the American Bar Association (ABA), discovery is the formal process by[…]
What is FINRA Rule 2010? FINRA Rule 2010 is perhaps the single most important securities industry regulation. The rule requires that all industry members conduct[…]
What is FINRA Rule 2150? The Financial Industry Regulatory Authority (FINRA) is a non-governmental body that is tasked with self-regulating firms and individuals in the[…]
In the United States, a financial broker must obtain a license before they can legally sell securities. Likewise, a brokerage firm must be properly licensed[…]
What is FINRA Rule 2165? FINRA Rule 2165 is a rule that was recently passed to amend FINRA Rule 4512, which governs how financial brokers[…]