Category Archives: Investors

FINRA Creates Arbitration Task Force

The Financial Industry Regulatory Authority (“FINRA”) has formed a 13-member Arbitration Task Force in an effort to “improve the transparency, impartiality and efficiency” of the arbitration process.  Arbitration is a formal dispute resolution process for disputes and complaints arising out of investors business dealings with any FINRA brokerage firm. Continue reading

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Filed under FINRA, Investment Advisers, Investors, SEC