Investors Arbitration Specialists
 

 

FINRA DISPUTE RESOLUTION

Background
The Financial Industry Regulatory Authority, Inc., or FINRA, is a private corporation that acts as a self-regulatory organization.  Though sometimes mistaken for a government agency, it is a non-governmental organization that performs financial regulation of member brokerage firms and exchange markets.  FINRA was created through the consolidation of NASD and the member regulation, enforcement and arbitration operations of the New York Stock Exchange.  FINRA conducts regulatory oversight of more than 5,000 securities firms and 666,000 registered representatives.

FINRA Dispute Process
FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms and individual registered representatives. A descriptive overview of the FINRA Dispute Resolution Process can be accessed here (Link will open in a new window)

Investors Arbitration Specialists Can Help You With Your FINRA Dispute!

Contact us immediately for more details, as time is on the brokerage firm's side.


San Diego ∙ New York ∙ Los Angeles
Telephone: (800) 298-4994

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