Financial Industry Regulatory Authority (FINRA)


FINRA Failure to Supervise Rules

  • Sonn Law 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

  • Sonn Law Staff
  • Nov 29, 2017
  • # - #

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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