Overview
Background
The Financial Industry Regulatory Authority Inc. (FINRA) is a private corporation that acts as a self-regulatory organization (SRO) for the securities industry in the United States. FINRA, formerly the National Association of Securities Dealers (NASD), creates and enforces rules for its members based on the federal securities laws.
Our Practice
Carlton Fields attorneys handle FINRA matters across the country, focusing on industry disputes, customer disputes, and regulatory investigations and enforcement. Our clients include registered representatives (individuals licensed to sell securities), associated persons (anyone engaged in the investment banking or securities business who is directly or indirectly controlled by a FINRA member, whether registered or exempt from FINRA registration), and management personnel.
We advise registered representatives and companies on FINRA conduct rules, including broker check disputes and Form U4/U5 issues; defend companies and individuals in FINRA regulatory investigations and enforcement proceedings; represent companies and individuals in industry and customer disputes in the FINRA forum; and litigate cases arising under federal and state securities laws.
We also represent our brokerage firm clients in employment arbitrations before FINRA.