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 two ways to resolve legal disputes. Arbitration is a private process in which the parties present their cases to one or more arbitrators who make a final decision. It is often faster and less formal than … Continue reading