Articles Tagged with FINRA Complaint Lawyers

What To Know When Filing a FINRA Complaint Against Your Broker

The Difference Between A FINRA Lawsuit and a FINRA Complaint  

If you suspect that your financial advisor engaged in broker misconduct or negligence, then you may be considering filing a complaint with the Financial Industry Regulatory Authority Organization (FINRA). This non-profit organization, which regulates the US securities industry, investigates complaints brought against brokerage firms and their employees and, when warranted, issues disciplinary sanctions against them.