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As members of Financial Industry Regulatory Authority (FINRA), brokerage firms and stockbrokers are required to submit to binding arbitration as a way of resolving customer disputes.  The FINRA arbitration dispute resolution process is designed to protect investors from stockbroker misconduct, or other sales practice violations, which results in investment losses. A brokerage firm’s failure to comply with FINRA rules and regulations concerning stockbroker misconduct can result in a claim for damages to recover investment losses.

The Financial Industry Regulatory Authority (“FINRA”) – created in 2007 through the consolidation of the National Association of Securities Dealers (“NASD”) and the New York Stock Exchange (“NYSE”) arbitration divisions – is recognized as the leading arbitration forum in the world for the resolution of investor complaints. There are certain activities in an investor’s account which are not suitable for most investors and should be considered as potential warning signs that require closer attention to your investment account including:

The Silver Law Group has significant experience representing institutional and retail investors in claims against all of the Wall Street giants and many smaller brokerage firms. Our lawyers routinely represent investors for claims ranging from unsuitable investment advice to Ponzi schemes. Our cases have involved stocks, bonds, private placements, mortgage-backed securities, real estate investment trusts, and alternative investments. Several of our cases have received national and local press coverage and have been the subject of prestigious awards on behalf of protecting investors.

To learn more about FINRA’s investor protection activities concerning stockbroker misconduct:

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