FINRA arbitration
Tag Archive

  • What is FINRA? The Financial Industry Regulatory Authority


    March 23, 2018 Comments (0) Blog

    What is FINRA? FINRA stands for Financial Industry Regulatory Authority. FINRA is private corporation that acts as a self-regulatory organization. FINRA provides regulatory services to the financial industry, without the need of taxpayer funding and is not a part of the U.S. Government. FINRA’s entire existence is

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  • Resolving Securities Disputes – FINRA Arbitration & Mediation

    finra arbitration

    February 15, 2018 Comments (0) Blog

    The Financial Industry Regulatory Authority Dispute Resolution FINRA operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. The resolution of problems and disputes is

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  • Senate Democrats want FINRA to compensate investors for unpaid arbitration claims


    March 10, 2017 Comments (0) Current Investigations

    Senate Democrats pushing for  FINRA reform. In a Senate Banking Committee markup of unrelated bills Thursday, Sen. Elizabeth Warren, D-Mass., offered an amendment that would direct the Financial Industry Regulatory Authority (FINRA) to create a fund that would cover unpaid arbitration awards. She later withdrew the

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  • What to do if your brokerage firm closes

    Andrew Todd Yocum

    March 6, 2017 Comments (0) Blog

    Ever wonder what would happen to your securities account if your brokerage firm closes? Though history does not contain too many examples of brokerage firms closing, it does happen. You have a regulatory safety net. There is a multi-tier safeguard system in place to protect investor assets. Most of these protections

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  • FINRA Arbitration Reform: Is it Enough?

    Andrew Todd Yocum

    February 13, 2017 Comments (0) Blog

    FINRA Arbitration Reform FINRA, the Financial Industry Regulatory Authority, is continuing to make reforms to its often criticized arbitration system for settling disputes between brokers and clients or among industry parties. This week FINRA Arbitration Reform is in full swing with 35 of the 51 recommendations set

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  • Is it Time to Fire your Financial Advisor?

    January 13, 2017 Comments (0) Blog

    Partnering with a trustworthy advisor will help you protect your money and also make the right decisions to help it grow. Unfortunately, it isn’t always a match made in Heaven. Here are some questions to help you decide if it’s time to make a change: Does your financial advisor understand your financial goals?

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  • Red Flags for Senior Investors

    Red Flags

    January 12, 2017 Comments (0) Blog

    Red Flags for Senior Investor Older Americans are often the targets of investment fraud.  The SEC’s Office of Investor Education and Advocacy recently issued Updated Investor Alert to help seniors identify signs, Red Flags, that what is offered as an investment may actually be a fraud.  Below are five “red

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  • Investor Bulletin: FINRA Arbitration & Mediation

    January 12, 2017 Comments (0) Blog

    Arbitration and mediation are two distinct ways of resolving securities and employment disputes between and among investors, brokerage firms and individual brokers, and offer a prompt and inexpensive way of resolving issues. Investors can file an arbitration claim or request mediation through FINRA when they have a

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