Most investor claims must go through arbitration, rather than through courts. They must be submitted under rules established by the Financial Industry Regulatory Authority, an industry self-regulatory organization. Finra’s code says claims can be made within six years after the event, according to Rose M. Schindler, the former Finra Regional Director in Boca Raton. She is now with The White Law Group.
(Last Updated On: July 17, 2015)
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