FINRA Arbitration Statistics for 2021: Deck Continues to be Stacked Against Investors


FINRA—the Financial Industry Regulatory Authority—is a private, self-regulatory organization that regulates brokerage firms, financial advisors, and advisory firms. FINRA offers arbitration and mediation services for investors who seek assistance with some registered member that they feel has violated FINRA’s code of conduct. FINRA maintains a public record of financial advisor and brokerage disciplinary actions and […]