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FINRA Arbitration

By: angel johnsan | 2012-08-10 | Society
The securities industry is worth billions and it is closely supervised as a result of the large portion of the economy it represents. The amount of litigation that would be brought from this overarching oversight by the federal government would require its own court system. read more

Financial Industry Regulatory Authority - FINRA

By: Amit Malhotra | 2010-04-03 | Stock Market
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) in the United States, which was founded under the Securities Exchange Act of 1934. It was a successor to the National Association of Securities Dealers, Inc. (NASD). read more

IRS and FINRA Attorney Law

By: Paul Millman | 2011-08-03 | Intellectual property
IRS (Internal Revenue Service) is the revenue service department of the United States federal government. This department is under the direct control of the Commissioner of Internal Revenue. IRS is responsible for the collection and processing of taxes and also the enforcement of Internal Revenue code... read more

FINRA Updates Financial Services Social Media Guidelines

By: Kevin Waddel | 2011-09-18 | Public Relations
FINRA offered fresh guidance about the approvals financial services need before communicating with potential or existing customers on social media sites. read more

Power Grab by the SEC, FINRA, & DC Jeopardizes Your Wealth

By: Jeffrey Reeves | 2010-04-01 | Personal Finance
Few Americans are truly qualified investors and most annuity buyers are not. Whole life, health, and annuity products are usually more than adequate to secure the wealth of the typical American and her/his family and they do the job without risk and without worry. read more

Recover Investment Losses and File a Claim at the Financial Industry Regulatory Authority (FINRA)

By: Lars Soreide | 2010-04-01 | Investing
Yes, it is possible to recover investment losses from an unscrupulous broker and/or the firm. All brokerage accounts are subject to mandatory binding arbitration at FINRA. The final hearing is at the FINRA hearing location closest to the investor. read more

Social Media In A Regulated Environment

By: ComplianceOnline | 2011-02-08 | Business
This FINRA regulation based training will discuss how to create social media policies and implement for compliance and enforcement to avoid fines and disciplinary action for regulated companies. It will also discuss the FINRA Notice 10-06 (issued Jan 2010). read more

A better way to solve disputes

By: kshtsb | 2010-12-15 | Law
John E. Lawlor, Esq. is an attorney whose practice is limited to securities litigation & securities arbitration, FINRA, NASD and NYSE investigations, enforcement actions, SEC investigations and actions & state regulatory matters in New York. read more

Looking for out of court settlement possibilities for your case?

By: kshtsb | 2010-12-24 | Law
John E. Lawlor, Esq. is an attorney whose practice is limited to securities litigation and securities arbitration, FINRA, NASD and NYSE investigations, enforcement actions, SEC investigations and actions and state regulatory matters in New York. read more

The Series 7 Examination

By: Zafer Ahmed | 2010-04-20 | Finance
If you are interested in selling securities in the United States and want to enter in the world of securities properly, you must have completed the examination called Series 7. Earlier, it was known as the General Securities Representative Examination. The examination is designed by the New York Stock Exchange (NYSE) and accepted by FINRA. read more

Mobile Electronic Communication Compliance and Security For Smartphones

By: Todd M Cohan | 2011-03-22 | Technology
The Proliferation of Smartphone Use and Workplace Text Messaging and the Growing Challenge of Mobile Communication Security and Compliance in the Workplace. How the Growing Use of Mobile Phones, Smartphones like Apple Iphone, Blackberry, Android and Windows Mobile Devices is Causing Potential Data Loss and/or Compromise. Solutions Such as TextGuard's Mobile Archiving Solve the Compliance Issue for FINRA and Other Regulatory Agencies. read more

Advantages of Bad Credit Business Start Up Loans

By: Anna Thomson | 2011-11-15 | Loans
Statistics cited by the FINRA Investor Education Foundation, reported more than 52% of people who checked their credit scores in the 12 months before December 2009 credit scores from about 720th In contrast, only 17% of those who have checked their credit score scores below 620th Several financing options for start-ups, depending upon their credit scores available read more

Inheritance Disputes Law Firm

By: Paul Millman | 2011-08-03 | Intellectual property
With property prices being sky high and constant drifting apart of families, inheritance disputes are bound to occur. If an older person of the family dies, leaving behind a will, involving more than one inheritor, it can be a sight of gruesome inhumanity. read more

Patent and Copyright Law New York

By: Paul Millman | 2011-08-04 | Intellectual property
You invent something, get it patented, you get an innovative idea in your mind, get its copyrights.Our inventions, thoughts, concepts and ideas are like little saplings which will yield valuable fruits in the future, if we nurture them properly. The most important thing in nurturing our ideas and inventions are getting them patented and copyrighted. read more

What is Churning and Can You Recover the Commissions From Your Stock Broker?

By: Lars Soreide | 2010-04-01 | Stock Market
How do you know if your broker or financial adviser excessively bought and sold securities in your account? When most people think of churning they think of butter. I think of a broker getting rich off of your stock account generating huge commissions. read more