FINRA Arbitration Attorneys

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FINRA Arbitration Attorneys

The Financial Industry Regulatory Authority is the most essential regulatory agency for those involved in the stock market, whether you’re an investor, a member of a firm, or a firm employee. This agency is tasked with overseeing the entire financial industry, and making sure that your investments are sound, while maintaining the integrity of the system of the stock market.

FINRA is a crucial part of keeping the marketplace fair and well-regulated, while providing basic protections for investors who are trusting the stock market with hard-earned savings in the hopes of a rewarding return on investment. Because FINRA is a non-profit, this also comes at no cost to the taxpayers, while maintaining a high ethical standard for businesses to follow.

When it comes to investments, FINRA makes sure that there are no misleading advertisements or statements and that products have been tested for quality assurance and are suitable for the investors’ needs and interests.

Unfortunately, when companies do not follow the standard set of rules and regulations laid out by FINRA, investors may suffer the consequences and this is where De Castroverde Law comes in to help you protect and recover your rightful financial assets.
Common Types of FINRA Arbitration Include:

  1. Investment Negligence
  2. Unsuitable Investment Advice
  3. Breach of Fiduciary Duty

If you feel you have a case that may qualify for FINRA Arbitration, call the attorneys of De Castroverde Law for an initial consultation.

Free Case Evaluation

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Nevada FINRA Arbitration Attorneys

The FINRA arbitration lawyers of De Castroverde Law Group can help represent your interests in the following types of investment loss cases:

How Can a FINRA Attorney Help Me?

When companies do not follow the standard set of rules and regulations laid out by FINRA, investors may suffer the consequences and this is where De Castroverde Law comes in to help you protect and recover your rightful financial assets.

Contact Us Today

  • Blue check mark IconWe have an advanced group of attorneys devoted to your best interests and we will help you file an arbitration claim against the brokerage firm or financial advisor you believe has deceived you.
  • Blue check mark IconAny arbitration case based on the rules and regulations of FINRA should only be handled by the most experienced arbitration attorneys.
  • Blue check mark IconWe understand how frustrating and complicated the stock market is, and losing vital resources from your business or personal finances can be a devastating blow.
  • Blue check mark IconWe are ready to take your case to court under the FINRA regulations to hold your stockbroker or financial advisor accountable, to recover your assets, and to make sure that these brokers do not take advantage of another investor like you.

Frequently Asked Questions

  • What is FINRA?

    FINRA, although authorized by Congress, is not a part of the United States government. Rather, it is a non-profit organization with the authority to oversee such financial activities as:

    1. Ensuring compliance of industry firms;
    2. Educating potential investors;
    3. Maintaining transparency in the stock market;
    4. Writing and enforcing a standard set of rules with which the financial industry is required to comply.

    FINRA is a crucial part of keeping the marketplace fair and well-regulated, while providing basic protections for investors who are trusting the stock market with hard-earned savings in the hopes of a rewarding return on investment. Because FINRA is a non-profit, this also comes at no cost to the taxpayers, while maintaining a high ethical standard for businesses to follow.

  • What is considered unsuitable investment advice?

    As an investor, your stockbroker is required to ensure that you understand the exact risks you will be taking, as well as how the investment fits in with your portfolio and long-term financial goals overall. A brokerage firm, as well as financial advisors must take into consideration, all of the above factors when dispensing financial advice.

    One of the core regulations of FINRA states that a stockbroker must have a reasonable basis for recommending that a financial transaction or investment strategy is sound and suitable, based on the best interests of the investor.

What Our Clients Say About Us.

Great experience. I have had two cases with them and they are very quick to respond with any questions. They notify me about everything that is going on with my case. They made it super easy and took a load off my back. I will be using them for all my future legal needs.Andrea G.

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