The financial industry is rife terrain for broker misconduct. In an industry where people are judged on their profits, it is not uncommon for investors to be victimized by various forms of illegal activity in the financial sector. FINRA oversees the securities...

There are different ways to resolve securities related disputes and two of those options are mediation and arbitration. Mediation and arbitration are two forms of alternative dispute resolution. The differences between arbitration and mediation Mediation and...

The Financial Industry Regulatory Authority (FINRA) is an organization designed to protect investors by ensuring broker-dealers operate ethically. One of the ways FINRA accomplishes this goal is by using the arbitration process to help settle disputes. Arbitration...