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FINRA Law in California

finra law in california

Merrill, Arnone & Jones can help investors, brokers, and employees diligently through the process of FINRA arbitration.

Our attorneys have experience in various areas of FINRA law and can provide representation in claims and defense.

Below is more information on what FINRA is and how we can help.

What is FINRA?

FINRA is an acronym for the Financial Industry Regulatory Industry. They are a non-governmental, private corporation focused on regulating security firms and securities professionals.

Every stockbroker and brokerage firm must be a FINRA member to operate.

Thousands of securities firms, offices, and representatives are overseen by FINRA, to ensure they have been following the rules and regulations that protect market integrity.

FINRA works to protect investors, regulators, policymakers, and other stakeholders by analyzing billions of daily market events and activity.

What is arbitration?

Arbitration is a form of dispute resolution. If any issues arise within the securities industries or between customers/brokers, it is meant to be settled through the arbitration process.

Most broker contracts include a ‘mandatory arbitration clause’ requiring any disputes within the securities industry to be resolved by FINRA arbitration as opposed to a court of law.

How can a California attorney help?

FINRA arbitration operates under different rules than a court of law. It is essential to find an attorney with FINRA specific experience to help navigate the arbitration process.

At MAJ Law, we provide representation for the following types of matters:

  • Investor arbitration claims involving brokers and investors
  • Promissory note arbitrations between brokers and securities firms
  • Employment matters between individual brokers and securities firms

If you are an investor who needs to settle a dispute, be sure that your representation is familiar with the process of FINRA arbitration and securities law.

The arbitration process can be challenging to navigate due to the specific rules and regulations FINRA operates on. A local attorney can help prepare you throughout the process.

For more information on how we can help with your FINRA arbitration and other matters, contact our law firm in Sonoma County.