Category: FINRA

Alternatives to FINRA Arbitration

When it comes to resolving a securities dispute between investors and brokers, it’s essential to be aware of the dispute resolution options available.  FINRA arbitration is one of the most popular, non-judicial forms of resolving a securities dispute. However, from the perspective of an investor, what are the alternatives—if any—to opting for binding arbitration? Read […]

Brokerage Firms Have a Regulatory Obligation to Supervise Financial Advisors

As a regulatory organization with oversight of member firms, the Financial Industry Regulatory Authority (FINRA) has established Rule 3110 to govern the supervision of member firms over their employees. It’s just one way that regulatory safeguards help ensure that customers are protected from potential misconduct by investment advisors and financial advisors, also called members. No […]

What Are The Common Signs Of Investment Fraud, Negligence Or Other Misconduct?

Investment related misconduct comes in many forms.  It can be out in the open and flagrant but most often it is concealed and subtle.  The hallmark signs of investment misconduct are: Sudden, precipitous drops in the value of your portfolio, particularly when not in tandem with the overall financial markets Your financial advisor is recommending […]

How Do I Recover My Investment Losses?

In the event you have realized investment losses due to broker misconduct, chances are that you are required to pursue your claims in arbitration before the Financial Industry Regulatory Authority (FINRA).  In a more limited number of circumstances, if no arbitration agreement exists between you and your brokerage firm, you may be able to pursue […]