Tag Archives: FINRA

BrokerCheck’s Impact on Customer Complaints

In January 2013, the Federal Register reported that FINRA has proposed a new rule that  would require broker / dealer firms to include on their website, a description of and link to BrokerCheck in order for customers and potential customers … Continue reading

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FINRA Disputes: Analyzing the Benefits of All-Public Arbitration Panels

2012 was a year of significant change for the FINRA arbitration process.  Specifically, 2012 was the first full year in which investors initiating customer-complaint arbitrations in FINRA had the option of having their claims decided by an all-public panel.  According … Continue reading

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FINRA Investigating Sales of Non-traded REITS

In the last decade,  Finra targeted broker / dealers who recommended private placements such as medical capital, provident and other alternative investment products to their clients. To date the securities industry is still feeling the impact ranging from the shut … Continue reading

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“Control Person” Claims on Rise as FINRA Membership Declines

In 2005, there were more than 5,100 broker / dealers registered with FINRA.  By the end of 2010, there were less than 4,700 broker / dealers registered with FINRA.  Since 2010, that number has declined even more with some well-known … Continue reading

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