The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA oversees nearly 4,620 brokerage firms, about 165,920 branch offices and approximately 636,340 registered securities representatives in order to protect investors in the U.S. by making sure the securities industry operates fairly and honestly.
FINRA impacts nearly every aspect of the securities industry, and iinclude enforcing self-regulatory rules and federal securities laws, as well as educating the investing public, and administering FINRA dispute resolution. FINRA operates the largest dispute resolution forum for investors and registered firms in the securities industry, assisting in the resolution of disputes between its members and by among investors. .
If you need a FINRA attorney experienced in securities arbitration, we can help. We have substantial experience representing clients in securities and investment arbitration.
The Guiliano Law Firm can help you with your FINRA dispute. Contact a us for a free initial consultation by calling 877-SEC-ATTY today.