FINRA

FINRA (Financial Industry Regulatory Authority)

FINRA is the largest regulator of securities firms in the United States. FINRA oversees over 4,000 brokerage firms and over 600,000 registered representatives. FINRA has its own rules that apply to most cases involving investors, securities firms and brokers/registered representatives. FINRA also investigates broker misconduct and handles broker disciplinary proceedings.

If you invested through a broker-dealer or securities firm, your claims will probably be resolved in a FINRA arbitration. The attorneys at Moulton & Arney, LLP are experienced in representing investors in FINRA arbitrations.

For more information about FINRA,

• Visit the FINRA website
• Check your broker’s background
• Review Investor Alerts
• Review FINRA Disciplinary Actions
• Search FINRA Arbitration Awards
• View the FINRA Rules/Code of Arbitration Procedure