Title: The Role of FINRA in Securities Disputes
When it comes to navigating the complex world of securities and investment fraud, having a knowledgeable and experienced attorney by your side is crucial. At the Frankowski Firm Investment Loss Attorneys, we understand the intricacies of state and federal securities laws and are well-versed in the rules and regulations set forth by the Financial Industry Regulatory Authority (FINRA).
Founded by Richard Frankowski, a leading securities and investment fraud attorney, our firm is dedicated to representing both individual and institutional investors who have fallen victim to broker fraud or misconduct. With over two decades of experience, Richard and our team of investment fraud lawyers have successfully held wrongdoers accountable for their actions and have a proven track record of obtaining large awards for those who have suffered financial injustice.
One of the key players in the securities arbitration process is FINRA. As a non-governmental organization authorized by Congress to protect investors and ensure market integrity, FINRA plays a critical role in resolving securities disputes. Here are some key aspects of FINRA’s involvement in securities disputes:
Arbitration Panels: FINRA operates the largest securities dispute resolution forum in the United States. When disputes arise between investors and their brokers or brokerage firms, they are typically resolved through FINRA arbitration panels. These panels consist of impartial arbitrators who hear both sides of the dispute and render a decision based on the evidence presented.
Regulatory Oversight: FINRA is responsible for regulating the activities of brokerage firms and their registered representatives. This includes setting and enforcing rules and standards of conduct, conducting examinations and investigations, and taking disciplinary actions when necessary. By holding brokers and firms accountable for their actions, FINRA helps protect investors from potential misconduct and fraud.
Mediation Proceedings: In addition to arbitration, FINRA offers mediation services as an alternative method of resolving securities disputes. Mediation provides a voluntary and confidential way for parties to work together with a neutral mediator to reach a mutually acceptable resolution.
Court Representation: In cases where arbitration or mediation does not lead to a satisfactory outcome, investors have the option to seek representation in court. Our firm is well-equipped to represent clients in litigation proceedings, advocating for their rights and seeking the compensation they deserve.
If you believe you have been the victim of any type of broker fraud or misconduct, it is crucial to seek legal guidance from a firm with a deep understanding of securities laws and regulations. The Frankowski Firm Investment Loss Attorneys is committed to fighting for the rights of investors and holding wrongdoers accountable for their actions.
Contact us today to schedule a consultation and learn more about how we can help you navigate the complexities of securities disputes and pursue the justice and compensation you deserve.
