Many investors rely upon BrokerCheck, a resource maintained by the Financial Industry Regulatory Authority (FINRA), to research whether their broker has been the subject of complaints by regulators or other customers. However, many investors do not realize that the...
Experience, Creativity And Skill
Month: May 2021
FINRA ends Moratorium on In-Person Hearings
Due to COVID-19, the Financial Industry Regulatory Authority (FINRA) has administratively postponed all in person arbitration hearings since the COVID-19 pandemic began in spring of 2020. For all practical purposes, this moratorium on in-person hearings has prevented...
