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.


Failure to Supervise FINRA

  • Staff
  • Dec 21, 2017
  • #

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[…]

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FINRA Rule 12510: Depositions

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[…]

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FINRA Arbitration Awards

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[…]

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FINRA Rule 2111: Suitability

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[…]

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