Burr & Forman

FINRA

01.10.2014

Suitability And The “Recidivist Broker”

On January 2, 2014, the Financial Industry Regulatory Authority ("FINRA") published its annual regulatory and examination priorities letter for 2014. In the publication, FINRA addressed…

11.21.2013

What is FINRA arbitration?

Arbitration is an alternative to the traditional lawsuit filed in court in order to resolve a dispute. It is a formal dispute resolution process in…