Assisting Individuals And Entities In FINRA Proceedings
Financial professionals engaged in the business of giving investment advice and selling investments products are regulated by federal and state regulatory authorities. Many people are familiar with the SEC (Securities and Exchange Commission), the mission of which is to protect investors, maintain fair, orderly and efficient markets, and facilitate capital formation. The Financial Industry Regulatory Authority, or FINRA, is overseen by the SEC. However, FINRA is a powerful self-regulatory organization (SRO) which regulates the conduct of its registered persons and member firms.
FINRA holds its registered persons and member firms to a very high standard, and can initiate regulatory proceedings against a registered person or member firm in the event that there is suspicion that activities are not compliant or are in violation of regulations that have been set. When under scrutiny from FINRA, it is essential to have an experienced and knowledgeable law firm on your side. At Jenks & Harvey LLP, we are a securities law-focused firm that has been handling regulatory matters for years with successful results.
When a registered person or member firm is facing a FINRA Panel of Arbitrator on customer claims of claims of churning, breach of trust, misconduct, unsuitable investments, misappropriation of funds or other accusations, there is a strong likelihood that FINRA’s regulatory interests will be triggered. You do not have to, nor should you, attempt to handle this matter on your own. Whether the FINRA matter is being held through arbitration or litigation, we can thoroughly prepare to argue your case and defend your rights to not only maintain your reputation as a broker or brokerage firm, but also to allow you to continue to do business.