Financial Industry Regulatory Authority

In the United States, the Financial Industry Regulatory Authority, Inc. (FINRA) is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange. It is a self-regulatory organization, a non-governmental organization that performs financial regulation of member brokerage firms and exchange markets. The government agency which acts as the ultimate regulator of the securities industry, including FINRA, is the Securities and Exchange Commission.
Posts about Financial Industry Regulatory Authority
  • The Reality of Investment Risk

    … some variety of risk. FINRA suggests that “by better understanding the nature of risk, and taking steps to manage those risks, you put yourself in a better position to meet your financial goals.” (Financial Industry Regulatory Authority) The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment…

    Eccleston Law Offices- 8 readers -
  • Another Shale Bond Default – Energy XXI Ltd.

    … before the Financial Industry Regulatory Authority – FINRA. Brokers can be forced to arbitrate and the claims are generally resolved in 14 months or less. Better yet, even if the broker is now out of the securities’ business or is broke, his or her employer can be held responsible for the losses. Don’t rely on brokers who claim you should “wait…

    Due Diligence- 21 readers -
  • Broker Indicted in $3 Million Ponzi Scheme

    … broker at J.C. Bradford & Co., Citigroup Global Markets Inc., and Morgan Keegan & Co. before he was let go from Raymond James in June of 2014. If Foerster is subject to the maximum penalty for his wire fraud, he could face 20 years behind bars and a $250,000 fine. The case has been investigated by the U.S. Secret Service…

    Eccleston Law Offices- 19 readers -
  • Do I have a claim against my investment advisor?

    … March 3, 2016 — Investors who have lost their life savings, retirement, or a substantial sum of their investment are often confused on how this occurred and wonder how they can recover their losses. Your ability to recover your losses will depend greatly on the particular facts of your relationship with your investment advisor, stock broker…

    MichieHamlett- 14 readers -
  • Investigating FSC Securities, Ronald McClane

    … to take but if what we heard is correct, there are other customers that may have also have suffered losses from unsuitable annuity sales. In fact, looking at public records from the Financial Industry Regulatory Authority – FINRA – there is at least one other person who has made a complaint in recent months. Stockbrokers and their employers…

    Due Diligence- 18 readers -
  • Key Shale Bond Indicator Hits Record – Bad for Investors

    … billions of dollars of shale bonds on unsuspecting investors seeking high yield. Now as energy prices are reaching the bottom of the barrel, billions of dollars of bonds have defaulted and many more are poised to default any minute. Two weeks ago I visited Texas and spoke with an expert in the industry. He claims that oil must stabilize at $73…

    Due Diligence- 15 readers -
  • 10 Things Investors Should Know About Financial Professionals

    … against them) online from the Securities and Exchange Commission Securities and Exchange Commission (SEC), and the Financial Industry Regulatory Authority Financial Industry Regulatory Regulatory Authority (FINRA). Both the SEC and FINRA are responsible for monitoring and regulating investment advisers and brokers. If the professional you’re…

    MichieHamlett- 12 readers -
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