FINRA

Brief Intro:

FINRA is a nonprofit organization authorized by Congress to help protect American investors in the broker-dealer industry. They

  • Write and enforce rules governing the activities of all registered broker-dealer firms

  • Examine firms for compliance

  • Foster market transparency

  • Educate investors

 

Detailed Description:

When an investor wants to resolve a complaint with its financial advisory or brokerage firm, the investor can initiate a FINRA arbitration proceeding by filing a FINRA claim.

 

At JLG, we defend brokers during arbitration hearings brought by the Financial Industry Regulatory Authority (FINRA). Our attorneys are experienced in representing brokers in cases of:

  • Arbitration

  • Subpoena compliance

  • OTR depositions

  • Insider trading prevention

  • Wells Notices

  • Correcting U5-Filing and Broker Check entries

  • Identifying and mitigating conflicts of interests

 

FINRA often aim to pursue those who seem most vulnerable. When brokers are not represented by an attorney who is not familiar with FINRA, they can be greatly disadvantaged and negatively impacted by their enforcements. At JLG, our experienced attorneys can support you during arbitration hearings, and help you identify and plan for future business and regulatory risks.

To learn more about how we can assist with your case or business, you can schedule a free consultation online or call 347-897-6199 to make an appointment.

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Jason Jia

Managing Partner

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Matthew Heerde

Of Counsel

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