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FINRA Enforcement

FINRA is the acronym for the Financial Industry Regulatory Authority, Inc.  This private corporation works to support investor confidence through their arbitration and enforcement efforts.  They investigate alleged wrongdoing.  FINRA has the authority to discipline firms and individuals found guilty of rules violations.

They will investigate for many different reasons.  FINRA is the agency that will follow up if you make a claim against a broker or individual.  Usually, when you sign up with an investment professional, you sign a contract.  You agree to settle any disputes through FINRA arbitration, rather than going to court.

The whole process is pretty daunting, and most investors don’t know where to begin if they suspect mishandling of their money.   A good lawyer will help you navigate the process of FINRA arbitration.  They will get you the best possible result.  Be sure to hire an reputable attorney that specializes in investment law.