FINRA Expert Witness Overview For the most part, if you have a claim against your broker or brokerage firm, it will need to be resolved[...]
Financial Industry Regulatory Authority (FINRA)
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[...]
In the modern world, most brokers and brokerage firms require their customers to sign a customer agreement before entering into a relationship. Typically, that agreement[...]
FINRA Rule 8210 allows FINRA officials to compel industry members, including registered financial advisors and brokerage firms, to cooperate with investigations. Indeed, under the rule,[...]
This article was originally published by InvestmentNews.com. The Financial Industry Regulatory Authority Inc. has requested comments as part of a review of its rules that[...]
In general, legal damages are designed to be ‘compensatory’ in nature. This means that victims are entitled to seek a financial recovery that is equivalent[...]
Brokers and brokerage firms each owe their clients a fiduciary duty. This means that they have a professional obligation to always put the best interests[...]
Understanding FINRA Discovery Rules Discovery is the foundation of every successful legal case. As explained most simply by the American Bar Association (ABA), discovery is[...]