Experience, Creativity And Skill

FINRA Arbitration

FINRA Expunges Records from BrokerCheck

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...

The End of Forced Arbitration?

Whether you realize it or not, if you have an account with a brokerage firm, it likely includes a mandatory arbitration provision, which provides that you waive your right to file suit against the brokerage firm in court. Instead, all disputes with...