What Is a FINRA Arbitration Hearing? A FINRA arbitration hearing is a formal proceeding where investors and brokerage firms present evidence and testimony before a panel of arbitrators who issue a binding decision. This is not a debate about market … Continue reading
How Does Regulation Best Interest Affect Investor Claims? Regulation Best Interest (Reg BI) is an SEC rule requiring broker-dealers to act in the best interest of retail investors when making investment recommendations. The rule requires brokers to evaluate costs, risks, … Continue reading
My Investments Were Stolen by My Broker. Can I Get My Money Back? Yes, it may be possible to recover stolen investment funds from a brokerage firm when a broker steals or embezzles client money. Depending on the case, investors … Continue reading
Every FINRA arbitration claim filed by an investor tells a story about what went wrong in a brokerage account. But the patterns across FINRA customer arbitrations reveal something broader: the same types of broker misconduct, unsuitable recommendations, misrepresentations, supervisory failures, … Continue reading
FINRA arbitration is the main dispute process many investors use to bring claims against brokerage firms and their registered representatives, especially when the account agreement requires it. The Financial Industry Regulatory Authority (FINRA) oversees broker-dealers in the United States and … Continue reading
When you lose your investment due to securities fraud or misconduct by a broker or financial advisor, you may have to pursue your compensation claim through the FINRA arbitration process. FINRA arbitration provides a quicker, less expensive means of resolving … Continue reading
Arbitration and litigation are both formal legal processes for resolving disputes, but they work differently. Arbitration takes place before a neutral arbitrator or panel outside of court, typically moves faster, costs less, and produces a binding decision with very limited … Continue reading