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[…]
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’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[…]
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.[…]
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[…]
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[…]
Do you have a complaint against your stockbroker or your brokerage firm? If so, you will likely need to pursue compensation through the arbitration process[…]
Understanding FINRA’s Investment Suitability Rule FINRA rule 2111 requires that a registered investment advisors (RIAs) and broker-dealers must have a reasonable belief that they are[…]