FINRA Rule 3110 Arbitration Attorney
FINRA Rule 3110 Fraud
This is probably one of the most important FINRA Rules affecting the investing public. Each FINRA member broker-dealer is required to generate a set of Written Supervisory Procedures and related desk procedures for branch managers and other supervisory personnel, and to live by those procedures. If you “talk the talk,” you need to be able to “walk the walk.”
FINRA and the SEC don’t dictate exactly what needs to go into those written supervisory procedures, but periodic guidance is offered through various Notices to Members published each year. Therefore, it is up to a broker-dealer’s legal and compliance departments to craft procedures that somehow follow other FINRA Rules and standards set by the SEC, and state securities regulations where the firm does business.
Such procedures can ultimately be a firm’s Achilles heel, as it is when a firm doesn’t follow its own procedures that investors succeed in bringing claims for fraud, negligence, and – most importantly – failure to supervise!
About FINRA Rules
Our Law Firm Represents Investors Who Have Lost Money Due To The Mishandling Of Their Accounts By Brokerage Firms.
Investment Fraud
FINRA Arbitration
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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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