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Tag: FINRA arbitration law firm

Blog, Securities Fraud

FINRA Arbitration Attorney for Resolving Securities Disputes

Securities Fraud Attorneys | FINRA Arbitration & Mediation | FINRA Dispute Resolution In addition to its regulatory functions, the...

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Current Investigations, Securities Fraud

Importance of Brokerage Firm Due Diligence on Alternative Investments

What are Alternative Investments? “Alternative investments” generally refer to all non-traditional investments – like...

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Blog, Securities Fraud

FINRA Rule 2111 regarding Suitability

Financial Industry Regulatory Authority Inc.’s Rule 2111 covers general suitability for recommended transactions and investment...

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Blog, Securities Fraud

FINRA Broker Check Enhancements

FINRA recently announced that it has added features to its CRD Broker Check system to help users more easily access broker-dealer and...

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Blog, Securities Fraud

FINRA Fines Credit Suisse Securities Over Alternative Investment Sales

Have you suffered losses in an alternative investment, hedge fund, or fund of funds sold to you by Credit Suisse Securities or Credit...

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Blog, Securities Fraud

New FINRA Replacement Arbitrator Rule

Often times in FINRA arbitrations, one or more of the three arbitrators selected by the parties to resolve the dispute has to withdraw from...

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