FINRA 3110

FINRA Rule 3110 (Supervision) requires member firms to establish, maintain and enforce a system to supervise their activities and the activities of their associated persons that is reasonably designed to achieve compliance with federal securities laws and regulations, as well as other FINRA Rules. This includes updating supervisory processes and written supervisory procedures (WSPs) to address new or amended rules, as well as products and services.

Other FINRA Rules That May Affect Your Business

Our Law Firm Provides Legal Counsel & Representation for a Range of Securities & FINRA-Related Cases.

FINRA Arbitration

Nearly all disputes in the securities industry are resolved through arbitration before FINRA panels. We have been involved in over 100 arbitrations since 2002. Read More »

Investment Fraud

We have represented investors and brokers in disputes around the country, both in litigation and in regulatory inquiries. Read More »

Complaints & Disputes

We have successfully resolved investor claims and disputes between brokers and their firms, whether the dispute is over investment losses or brokers moving their books of business. Read More »

Contract Disputes

We help brokers review employment contracts with new employers or resolve issues related to their agreements with employers they want to leave. Read More »

Settlement Negotiations & Mediation

We have been involved in dozens of mediations and settlement talks over the past two decades, helping brokers resolve conflicts that would otherwise have derailed their careers. Read More »

FINRA vs. AAA

Along with FINRA arbitrations, we have also handled disputes before panels of the American Arbitration Association. We can help you navigate either forum. Read More »

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Securities Practice Group

The Law Offices of Christopher H. Tovar, PLLC
3990 Chilson Road
Howell, MI 48843
(832) 370-3908

mjolnir |Securities Practice|

The Law Offices of Christopher H. Tovar, PLLC are headquartered in Southeast Michigan. Christopher H. Tovar is licensed in Michigan, Texas, Florida, New York, and Illinois and operates nationwide.*

* Michigan, Florida, Illinois, California, and New Jersey require bar membership to arbitrate FINRA cases in their jurisdictions. The Law Offices of Christopher H. Tovar, PLLC maintains relationships with attorneys in all 50 states and can arbitrate your case on a pro hac basis.

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