FINRA has ended the administrative postponement of in-person hearings in all hearing locations across the country. Last month, the Financial Industry Regulatory Authority (FINRA) announced that, effective July 5, 2021, it would end the administrative postponement of...
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...
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...
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...
