In the mid-2000s, Kris Dielman was a star offensive lineman for the NFL’s San Diego Chargers. He played in the league for nine seasons and[…]
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.
If you’ve suffered significant investment losses as the result of your broker violating FINRA rules, we suggest that you speak with a FINRA arbitration lawyer[…]
When you hire a financial advisor, you have the reasonable expectation that you will be able to rely on their advice. Unfortunately, financial advisor negligence[…]
In the modern world, the overwhelming majority of registered financial advisors make their clients sign customer agreements. Within these agreements, you will likely find a[…]
If you have a complaint against your broker or your brokerage firm, you will likely be required to pursue compensation through the FINRA arbitration process.[…]
In April of 2016, the Securities and Exchange Commission (SEC) approved FINRA Rule 3210. The rule actually went into effect as of April 1st, 2017.[…]
Do you have a margin account with your brokerage firm? If so, you should be aware of the rules and regulations that govern the use[…]
For the most part, investor complaints against brokerage firms and financial advisors are resolved either through informal negotiation, mediation or FINRA arbitration. Should their claim[…]
If you’re considering filing a complaint against your financial advisor it’s important that you have a clear understanding of the general process. As a registered[…]
Arbitration is a form of alternative dispute resolution that is often used in the place of traditional litigation. In the securities industry, most complaints against[…]