FINRA Arbitration

FINRA Arbitration Lawyer

FINRA Lawyer: Recover Your Losses Through Arbitration

At Haselkorn & Thibaut, P.A., our experienced FINRA Arbitration lawyers help victims of investment fraud and financial advisor malpractice recover their investment losses. The securities industry laws are complex, involving state and federal regulations, firm-specific policies, and various industry standards. The Financial Industry Regulatory Authority (FINRA) is the governing body overseeing the securities industry, authorized […]

FINRA Lawyer: Recover Your Losses Through Arbitration Read More »

Is Raymond James in Trouble with Unreasonable Commissions?

A magnifying glass scrutinizing financial documents, a myriad of people from various walks of life pondering their financial futures, and a looming question in the air: Is Raymond James in trouble due to unreasonable commissions? The question remains as an investigation led by the Massachusetts Secretary of State has reviewed  Raymond James’ business practices, and potential

Is Raymond James in Trouble with Unreasonable Commissions? Read More »

stock, iphone, business

Essential Duties of a Fiduciary: Trust, Responsibility, and Best Practices Explained

What are the fundamental duties of a fiduciary? This is a critical question for anyone entrusted with managing others’ assets, making financial decisions, or upholding the interests of beneficiaries. The duties of a fiduciary—rooted in law and ethics—require utmost care, loyalty, and good faith, all aimed at serving others before oneself. This article breaks down

Essential Duties of a Fiduciary: Trust, Responsibility, and Best Practices Explained Read More »

hammer, books, law

Understanding the FINRA Broker-Dealer Registration Process for Finra Broker Dealer Firms

Understanding how to register with the Financial Industry Regulatory Authority (FINRA) is key for broker-dealer firms. FINRA makes sure that all firms and individuals who want to do business involving securities with the public follow the rules. Broker-dealer firms across America, including various LLCs and Inc., are subject to FINRA’s regulations. These firms have a

Understanding the FINRA Broker-Dealer Registration Process for Finra Broker Dealer Firms Read More »

Scroll to Top