Insights
April 18, 2014
National and State Resources Run a FINRA check on your broker or brokerage firm by clicking here. You can view FINRA Regional Office Locations or click on a state below to view the resources specific ...
April 9, 2014
FINRA issued two new Regulatory Notices recently in order to review rules on an ongoing basis. Regultatory Notice 14-14 requests comments on FINRA’s communications with the public rules, and Reg...
March 26, 2014
James H. Frank of Santa Barbara, California may have jeopardized the outcomes of almost forty securities arbitrations, some of which date back to more than fifteen years. According to a FINRA spokeswo...
March 26, 2014
In order to begin the arbitration process, a party should file a Statement of Claim with FINRA. This party is called the “claimant.” The party against whom the Statement is filed is called...
March 24, 2014
Several brokerage firms have stopped selling leveraged exchange traded funds (ETFs) after the Financial Industry Regulatory Authority Inc. warned brokers that they “typically are unsuitable for ...
March 17, 2014
The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory organization, a non-governmental organization that performs financial regulation of member brokerage firms and exchange m...
March 7, 2014
A group of securities and investment attorneys has asked Congress to provide more information to consumers about the brokers that handle their money. FINRA does not go as far as some U.S. state securi...
May 2, 2013
Armed with an argument for protecting investors’ rights, SEC member Luis Aguilar went before the North America Securities Administrators Association’s annual conference in Washington, D.C ...
April 2, 2013
According to a FINRA press release, broker Jeffrey Rubin of Lighthouse Point, Florida, is barred from the securities industry for making unsuitable recommendations to invest in illiquid, high-risk sec...
October 5, 2012
Dynamic Securities Analytics, Inc. released their nationwide rankings for the first two quarters of 2012. The law firm of The Frankowski Firm topped the list at second in the country. For the rankings...
July 3, 2012
The SEC has adopted the FINRA communication rule, which has some noticeable changes from the previous NASD rule, according to the article on Mondaq.com. One noticeable change was the consolidation of ...
June 26, 2012
According to a recent Reuters.com article, July 2, 2012 will be the launch date for a new FINRA program that will allow more flexibility in large arbitration cases. The new program will be for claims ...
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