Areas of Practice

FINRA Investigations

Call 800-718-1422 or email [email protected]

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FINRA Investigations

The Financial Industry Regulatory Authority, Inc., aka FINRA, is the largest independent regulator of securities firms doing business in the United States. It is a private corporation that acts as a self-regulatory organization (SRO) for the securities industry. FINRA’s mission is to protect investors by making sure the United States securities industry operates fairly and honestly.

All broker/dealers doing business with members of the public must register with FINRA and are licensed by FINRA. FINRA also writes rules to govern members’ behavior and examines them for regulatory compliance. FINRA’s rules and regulations are supposed to be strictly enforced. FINRA is sanctioned by the U.S. Securities and Exchange Commission (SEC) to discipline registered representatives and member firms that fail to comply with the federal securities laws.

FINRA has the authority to fine, suspend or ban brokers and firms but it is not a government agency and cannot sentence financial professionals to jail. FINRA’s Enforcement Department may open investigations from varied sources, including customer complaints, anonymous tips, automated surveillance, or firms’ self-reporting. If warranted, Enforcement may initiate formal disciplinary action.

David Weintraub represents individuals when they are being investigated by FINRA. In those instances where the individual has not violated FINRA rules or industry custom or usage, we will vigorously defend the individual against unwarranted charges.

David Weintraub knows the securities industry and how it operates.  For more information regarding the securities arbitration process please contact our office at 800-718-1422 for a consultation.

Areas of Practice

  • Securities Litigation and Arbitration

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    Securities Litigation and Arbitration

    Unfortunately, not all Stockbrokers and Investment Advisors are ethical and trustworthy. Many of them take advantage of trusting people. That is where we come in. Read More

  • FINRA Investigations

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    FINRA Investigations

    The Financial Industry Regulatory Authority, Inc., aka FINRA, is the largest independent regulator of securities firms doing business in the United States. Read More

  • Elder Exploitation

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    Elder Exploitation

    Elder Exploitation is a form of abuse that occurs when a person, most often a relative or a professional such as a financial advisor, exploits an elderly person (age 65 and older) or a disabled adult. Read More

  • Commercial Litigation

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    Commercial Litigation

    Commercial litigation is a broad term that describes virtually every type of dispute that may arise in a business context. Common examples of commercial litigation include breach of contract, partnership disputes, class actions, and shareholder issues. Read More

  • BrokerCheck Expungements

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    BrokerCheck Expungements

    The CRD is a registration and licensing system that contains disclosure and administrative information on brokerage firms, as well as individuals who dispense investing and financial advice. Read More

  • Employment Litigation

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    Employment Litigation

    Not surprisingly, the financial securities industry is a hotbed for employment litigation.  Brokerage firms routinely use the FINRA arbitration process to sue former employees who have defaulted on promissory notes. Read More

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