What Types of Cases Are Eligible for FINRA Arbitration?
The Financial Industry Regulatory Authority (FINRA) is a multistate body authorized by Congress to regulate the financial industry. They write rules and ethics codes for finance professionals, including stock brokers and financial advisors. If any professional or...
FINRA Dispute Resolution vs. Filing a Complaint: Which Option is Right for Investors?
The Financial Industry Regulatory Authority, or FINRA, is a non-governmental agency that monitors stockbrokers, brokerage firms, and investment advisors to ensure that they are complying with federal laws and treating investors fairly. If an investor thinks that he or...
What is the Difference Between FINRA Arbitration and Mediation?
The Financial Industry Regulatory Authority, or FINRA, is a non-governmental organization authorized by Congress to regulate the activities of its members within the finance and securities industries. To date, these members include approximately 630,000 individual...
What to Do if You Think Your Stockbroker Is Charging Excessive Markups or Commissions on Securities
Working with a stockbroker takes a level of trust. You could be trusting them to invest thousands, hundreds of thousands, or even millions of dollars of your money. Of course, a broker is permitted to take a fee for their services, but sometimes these fees and charges...
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