Securities & Investment FAQ


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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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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