The Financial Industry Regulatory Authority offers investors and brokers a way to resolve controversies between a client and the firm regarding investments or, in case of brokers, employment related disputes. FINRA offers two distinct options, arbitration and...

Investors trust their brokers to do their jobs correctly and manage their finances to meet their financial goals. While brokers cannot control everything that happens in the market, they have a duty to their clients to manage their money appropriately given the...