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Analysis: Beware of a FINRA bearing gifts for RIAs

The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them

Author Guest Columnist Patrick Burns December 7, 2012 at 4:52 AM
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Patrick Burns: By opening the door for RIAs to have their arbitration cases held before a FINRA arbitration panel, it seems that FINRA has taken another step in its quest to become the SRO for RIAs.

RIA Compliance



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Mentioned in this article:

The Law Offices of Patrick J. Burns, Jr., P.C.
Specialized Breakaway Service
Top Executive: Patrick J. Burns, Jr., Esq.

Advanced Regulatory Compliance, LLC
Compliance Expert
Top Executive: Patrick J. Burns, Jr., J.D.



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