FINRA is the Financial Industry Regulatory Authority.  It is an independent organization authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.  It is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.  It does this by writing and enforcing rules governing the activities of more than 4,125 securities firms with approximately 639,265 brokers; examining firms for compliance with those rules; fostering market transparency; and educating investors.

When problems between brokers and investors occur, FINRA administers the largest forum specifically designed to resolve securities-related disputes between and among investors, securities firms and individual brokers.  This is known as the FINRA arbitration forum.  It is the largest dispute resolution forum in the country for the securities industry, handling nearly 100 percent of securities-related arbitrations and mediations from more than 70 hearing locations – including at least one in all 50 states, London and Puerto Rico.

The bottom line is that FINRA is a regulatory organization with its own rules and procedures.  If you are involved in a FINRA arbitration, or are contemplating commencement of a FINRA arbitration, you want a lawyer experienced in FINRA arbitrations.  We can help you through the FINRA arbitration process.  We represent investors, brokers and securities firms in FINRA arbitrations nationwide.