FINRA arbitration

Getting a Second Legal Opinion

Posted on Monday, March 6th, 2017 at 2:20 pm    

Everyone is familiar with getting a second opinion when it refers to medical matters. Legal matters require the same actions. One lawyer’s opinion about the merits of a case are just that, one lawyer’s opinion. A client should not just accept a single opinion from a lawyer that his or her case does not have […]

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What is FINRA’s Suitability Rule?

Posted on Monday, March 13th, 2017 at 1:15 pm    

In 2012, the suitability rules the Financial Industry Regulatory Authority (FINRA) uses changed. Rule 2111 clarified and codified many precedents that were previously upheld and interpreted through case law. Rule 2111 replaces NASD Rule 2310 and offers clear standards that apply to securities brokerages and professionals. The Stipulations of the Rule Advisement professionals must adhere […]

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