Month: November 2015

Important Questions Investors Should Ask Their Financial Professionals Regarding Financial Professional Titles

A joint investor bulletin of the North American Securities Administrators Association (NASAA) and the Securities Exchange Commission (SEC) suggests that investors should ask the following questions of their financial professionals who are touting their professional titles: Are you employed by a registered broker dealer? Are you employed by a registered investment advisor? Are you or […]

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FINRA Dispute Resolution Statistics

The Financial Industry Regulatory Authority (FINRA) recently released summary of arbitration statistics as of August of 2015, including considerable historical statistics from previous year filings going back fifteen years to the year 2000. Top categories and filings include controversies involving margin calls, churning, unauthorized trading, failure to supervise, negligence, omission of facts, breach of contract, […]

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The Financial Industry Regulatory Authority (FINRA) Issues “Understanding Investment Professional Designations”

The Financial Industry Regulatory Authority (FINRA) has issued a web link article entitled “Understanding Investment Professional Designations” suggesting that investors learn more about financial planners, investment advisors, broker dealers, and particular professionals who may be representing themselves as having one of many professional designations, titles, initials, accreditations, certifications, or registrations.  This list can be unending […]

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How to Initiate an Arbitration or Mediation at FINRA

The Financial Industry Regulatory Authority (FINRA) maintains offices at Dispute Resolution designed to resolve investment related disputes through arbitration or mediation. The initiation of an arbitration claim requires the filing of a Statement of Claim and Uniform Submission Agreement (with the appropriate filing fee, at FINRA’s offices). Mediation provides a different approach to dispute resolution than […]

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