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The Financial Industry Regulatory Authority (FINRA) is an independent, nonprofit organization that handles over 99% of all securities-related arbitrations and mediations in the United States. Authorized by Congress to protect investors, the FINRA works to ensure the securities industry operates fairly by enforcing the highest ethical standards and providing necessary resources to enforce investor safeguards and shield market integrity.

The FINRA has more than 3,500 employees dedicated to ensuring:

  • Investors receive basic protections
  • Those selling securities products are tested, qualified, and licensed
  • Securities product advertisements are honest and straightforward
  • Securities products sold are suitable for the needs of the investor
  • Complete disclosure is provided to investors prior to securities product purchase

The FINRA is authorized by Congress to take disciplinary action against registered individuals and firms who engage in practices that are harmful to investors. In addition, the FINRA administers the largest forum designed to resolve securities-related disputes between investors, firms, and brokers.

The FINRA handles disputes, but cannot bring criminal charges against individuals or firms. However, using a variety of data gathering techniques, FINRA employees look across markets to detect potential abuses and refer cases to the SEC and other regulatory agencies as needed for criminal prosecution.

If you are currently involved in a securities dispute or if you believe arbitration or mediation is needed to protect your best interests, please call (407) 712-7300 or contact us online today to schedule a free consultation and learn more about your rights. The experienced FINRA securities arbitration attorneys at Colling Gilbert Wright have filed and litigated hundreds of FINRA arbitration claims, recovering millions of dollars for our clients.