Assisting Individuals And Entities In FINRA Proceedings
Financial professionals engaged in the business of giving investment advice and selling investment 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) that 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 Arbitrators on customer 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.
Contact Jenks & Harvey, LLP by calling 561-346-9854 or by contacting us online. We help clients throughout the country from our office in West Palm Beach, Florida.