Your registered financial advisor – and the firm that employs him or her – is regulated by the Financial Industry Regulatory Authority (FINRA). FINRA provides[...]
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.
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FINRA Rule 3210 Overview In April of 2016, the Securities and Exchange Commission (SEC) approved FINRA Rule 3210. The rule actually went into effect as[...]
What is FINRA Rule 2165? FINRA Rule 2165 is a rule that was passed to amend FINRA Rule 4512, which governs how financial brokers can[...]
Consumers love to shop at wholesalers. MarketWatch reports that Costco, one of the nation’s most prominent wholesale retail chains, took in nearly $120 billion in[...]
Understanding the FINRA Investment Suitability Rule 2111 FINRA rule 2111 requires that a registered investment advisors (RIAs) and broker-dealers must have a reasonable belief that[...]
FINRA Rule 3280 Overview Financial advisers and brokerage firms have fiduciary duties to all clients. One of the core tenets of a fiduciary duty is[...]
The FINRA Definition of Customer The Financial Industry Regulatory Authority (FINRA) has promulgated many rules that are designed to ensure fairness in the securities industry,[...]
In December of 2012, the Financial Industry Regulatory Authority (FINRA) instituted a new rule that regulates its member firms’ participation in private placement securities offerings.[...]
Understanding FINRA Rule 4210 Do you have a margin account with your brokerage firm? If so, you should be aware of the rules and regulations[...]
Understanding Finra 3270 Due to the very nature of the relationship, all investors are forced to put a tremendous amount of faith in the hands[...]