There are several FINRA arbitration jobs available to professionals who have an interest in the FINRA arbitration process. This post discusses some of these jobs. Become a FINRA Arbitrator An arbitrator is a neutral party who oversees arbitration proceedings. They decide who wins the FINRA arbitration as a judge and jury decides a court case. […]
Category Archives: FINRA Arbitration
On November 22, 2013, WealthManagement.com ran Patrick Mahoney’s editorial Petty Crimes on Broker Records – Can they be Expunged?. A link to the article is available HERE. The article’s content is available below: FINRA rules require brokers to make extensive and often intrusive disclosures (vis-à-vis a broker’s Central Registration Depository (“CRD”) record) concerning their work and disciplinary […]
