Navigating the world of FINRA law can feel like wading through a maze of complex rules and regulations. Did you know that the Financial Industry Regulatory Authority (FINRA) exists to oversee brokerage firms and their associated persons, ensuring compliance with federal securities laws and industry regulations? This blog post is your essential guide to understanding […]
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Are you an investor who suspects irregularities or wrongdoing in your dealings with financial professionals? Knowing that the Securities and Exchange Commission (SEC) is set up to handle such issues is crucial. Our article provides a step-by-step guide on how to file an SEC complaint, ensuring your grievances are heard effectively. So let’s dive right
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Are you involved in an investor dispute and feeling overwhelmed by FINRA’s discovery process? You’re not alone. This complex procedure plays a critical role in resolving financial disputes, but it can be challenging to navigate without proper guidance. Our comprehensive guide breaks down the essentials of understanding FINRA’s Discovery Guide and Document Production process, providing
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Investing can be a complex endeavor, particularly when you’re not sure if your broker is playing by the rules. Imagine having unauthorized trades made in your investment account without your knowledge – a frightening thought, right? This blog post unpacks the concept of unauthorized trading, shedding light on its various types, consequences, and how to
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Investing can be thrilling, but what happens when disputes arise with your brokerage firm or broker-dealer? Securities arbitration is an efficient way to resolve such issues, serving as an alternative to going to court. Haselkorn & Thibaut specialize in fighting for investors. Our team of experienced FINRA arbitration lawyers has over 50 years of experience.
Don’t Let Wall Street Walk Away with Your Money! Fight Back with Securities Arbitration Read More »