Many disputes that do not settle in mediation end with the declaration, “We can do better at trial.” But as the parties and mediator leave the room, they may ask
themselves if that assertion is accurate.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Dispute Resolution strives to be the preeminent provider of securities related dispute resolution services. Such a goal is only possible when talented, dedicated arbitrators and mediators aid in the process.
