FINRA Arbitration

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 »

A stack of financial documents and a calculator surrounded by graphs and charts, featuring people of different ethnicities and styles.

Understanding FINRA Rule 4530: Reporting Requirements And Compliance Strategies

Navigating the ever-evolving regulatory landscape can be a daunting task for financial firms. The Financial Industry Regulatory Authority (FINRA) is the governing body responsible for setting Rule 4530. FINRA Rule 4530 sets reporting requirements that firms must adhere to. This blog post will guide you through understanding these requirements and devising compliance strategies. Haselkorn &

Understanding FINRA Rule 4530: Reporting Requirements And Compliance Strategies Read More »

Scroll to Top