Tag: FINRA arbitration
Resolving Securities Disputes – FINRA Arbitration & Mediation
The Financial Industry Regulatory Authority Dispute Resolution FINRA operates the largest securities dispute resolution forum in the United...
FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr
FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr According to reports, former independent broker Kathleen J. Tarr’s bid...
Senate Democrats want FINRA to compensate investors
Senate Democrats pushing for FINRA reform. In a Senate Banking Committee markup of unrelated bills Thursday, Sen. Elizabeth Warren,...
What to do if your brokerage firm closes
Ever wonder what would happen to your securities account if your brokerage firm closes? Though history does not contain too many examples...
Investor Alert: Mutual Fund Fees
Are you aware of how much you are paying in mutual fund fees? It’s important to be aware of all the mutual fund fees associated with any...
FINRA Arbitration Reform: Is it Enough?
FINRA Arbitration Reform FINRA, the Financial Industry Regulatory Authority, is continuing to make reforms to its often criticized...
