Many Soreide Law Group clients, and readers of our blog, often hear us refer to "FINRA." FINRA is the abbreviation of the Financial Industry Regulatory Authority, Inc. In case you are wondering what FINRA is and what they do, we will give you a very brief synopsis. FINRA is responsible for regulating it's member firms […]

The Public Investors Arbitration Bar Association, also known as PIABA, studied arbitration cases in which the word "expungement" appeared. They found that since mid-May 2009 through the end of 2011 -- expungement relief was granted in nearly every instance: 96.9% of cases. PIABA found, for example, one broker who requested expungement 40 times, and arbitration […]

The Public Investors Arbitration Bar Association, also known as PIABA, studied arbitration cases in which the word "expungement" appeared. They found that since mid-May 2009 through the end of 2011 -- expungement relief was granted in nearly every instance: 96.9% of cases. PIABA found, for example, one broker who requested expungement 40 times, and arbitration […]

The Financial Industry Regulatory Authority Inc., also known as FINRA, is proposing a new rule that would allow investors to access information about a financial advisor’s business and disciplinary history directly from the firm’s web page. FINRA filed a regulatory notice in the Jan. 25 edition of the Federal Register. FINRA said the rule would […]

Many of our clients ask about FINRA's BrokerCheck.  Located on FINRA's website, finra.org, BrokerCheck is defined by FINRA as "a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers, as well as investment adviser firms and representatives. It should be the first resource investors turn to […]