Tag: FINRA arbitration attorney
New FINRA Replacement Arbitrator Rule
Often times in FINRA arbitrations, one or more of the three arbitrators selected by the parties to resolve the dispute has to withdraw from...
FINRA Arbitration Award Statistics
FINRA recently updated detailed statistics on its arbitration, mediation, and dispute resolution process. This information is publicly...
How To Research Your Financial Advisor with BrokerCheck
All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority). FINRA BrokerCheck...
FINRA Rules Regarding Suitability
Securities Fraud Attorneys | Suitability Claims One of the main claims in any securities fraud case is regarding suitability (i.e., were...
SEC Changes to “Accredited Investor” Rules
The Securities and Exchange Commission recently announced that it has amended its rules to exclude the value of a person’s home from net...
