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Posts Tagged ‘FINRA’

FINRA Arbitration for Defamatory Form U5 Statements

Mandatory FINRA arbitration controls all employment disputes between FINRA member businesses and their employees that are registered with FINRA.  The Financial Industry Regulatory Authority (“FINRA”) is an independent regulatory agency that protects investors by ensuring that its member firms operate fairly and in accordance with federal securities laws and regulations.  FINRA has established an arbitration…

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Prepare to Navigate Special Arbitration for Employment Claims in Financial Services Industry

The first stop for any employment claim involving most financial services companies is arbitration governed by Financial Industry Regulatory Authority (“FINRA”), which has its own procedures. Mandatory arbitration controls all employment disputes between FINRA member businesses and their employees who are registered with FINRA. FINRA is an independent regulatory agency that protects investors by ensuring…

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