Lendrum Law Firm, APC
Financial Fraud and Investment Loss Recovery Attorneys
619-573-6903 888-809-7832

November 2013 Archives

Cases raise questions about FINRA's policing of iffy brokers

Our readers likely are familiar with the Financial Industry Regulatory Authority. FINRA is the self-funded body that oversees securities brokers. Its own website states that its mission is to provide investors basic protections by enforcing rules against fraud or other wrongdoing.


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