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FINRA Proceedings

The Financial Industry Regulatory Authority, Inc. (FINRA) is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) and the member regulation, enforcement and arbitration operations of the New York Stock Exchange. It is a non-governmental organization that regulates member brokerage Firms and exchange markets. FINRA’s mission is to protect investors by making sure the United States securities industry operates fairly and honestly.

If you have an unresolved dispute with your financial broker or financial brokerage firm, our Firm has experience in resolving these disputes. Contact for a free initial consultation.


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