What is Mediation
Mediation is a non-binding alternative dispute resolution (ADR) process in which a neutral mediator helps the parties reach an agreed resolution of the disputed issues in the disciplinary proceeding. The mediator assists the parties in reaching their own negotiated settlement by defining the issues, probing and assessing the strengths and weaknesses of each party’s positions,
Parties may not file letters or emails with the Office of Hearing Officers. All filings must be in the form of a pleading, in Portable Document Format (PDF), filed by email to [email protected] Each PDF shall be named in accordance with the following convention: [date – year, month, day] [complete title of document] example: 20240915 Notice of Appearance&
What does Ombuds mean? Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
Jon Kroeper, Executive Vice President, Quality of Markets, is leaving FINRA, effective at year end, to pursue other opportunities.
Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It can devastate your credit rating and derail financial security. Here's how you can protect yourself.
Regulators to Discuss Protecting Seniors During World Elder Abuse Awareness Day
WASHINGTON—The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA) and FINRA will be co-hosting the Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation. The discussion will build on the SEC, NASAA and FINRA’s joint training released in 2021
