Articles on FINRA

Arbitration of customer disputes under FINRA By Scott Carfello Business and Securities Law, April 2015 An overview of the Financial Industry Regulatory Authority, its arbitration rules, and a look at how it differs from other arbitration providers.
A new option for resolving investment fraud disputes By Laurence M. Landsman Business and Securities Law, July 2013 This article provides the analytical framework for deciding whether to arbitrate a securities dispute involving a registered investment advisor within the FINRA Dispute Resolution process rather than file a lawsuit and litigate the claims in court.

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