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Fraud › Third-Party › Financial Industry Regulatory Authority (FINRA)

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Vedder Price

FINRA Publishes 2025 Regulatory Oversight Report

Vedder Price on

On January 28, 2025, FINRA published its annual regulatory oversight report for 2025 (Report), which highlights observations and findings from FINRA’s oversight programs. The Report covers 24 topics, and for each topic it...more

Bass, Berry & Sims PLC

Chris Lazarini Discusses Judicial Review of FINRA's Refusal to Compel Arbitration

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini discussed a court’s authority to compel arbitration where FINRA has declined to accept a case. In this case, following the Director of FINRA’s Office of Dispute Resolution...more

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