Category: FINRA

How to File a FINRA Complaint Against a Brokerage Firm
If you have lost money because of broker misconduct, you are understandably shocked and angry. Your hard-earned money is gone …
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Does FINRA Regulate Cryptocurrency?
Since there is a lot of money to be made in cryptocurrency, broker-dealers have used less than wholesome tactics. Young …
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Guide to FINRA’s Discovery Process
Your brokerage agreement requires you to go through the arbitration process to get compensation from your broker for misconduct. Although …
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Can You Sue Your Financial Advisor or Broker for Losses?
When a broker or investment advisor costs you money, you have the legal right and ability to take action. However, …
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