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[…]
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.
For the most part, if you have a claim against your broker or brokerage firm, it will need to be resolved by a FINRA arbitration[…]
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[…]
If you are an investor and you have a claim against your broker or brokerage firm, you will likely be required to go through FINRA’s[…]
Are you looking to hire a FINRA arbitration lawyer to help you recover full and fair compensation for your investment losses? If so, you owe[…]
The Financial Industry Regulatory Authority (FINRA) has promulgated many rules that are designed to ensure fairness in the securities industry, protect the rights of investors,[…]
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.[…]
Discretionary accounts are trading accounts in which a broker is empowered with the authority to make individual transactions without seeking client approval. When operating these[…]
FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. For the most part, this type[…]
This article was originally published by Reuters.com. FINRA – the industry-financed overseer of brokerages – knows which firms tend to employ advisers with histories of[…]