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Tag: Financial Industry Regulatory Authority

Frequently Asked Questions (FAQs) About FINRA’s Arbitration Process and Rules

Wooden blocks that say arbitration with a brick background

Financial advisors have several questions about what to expect during FINRA’s arbitration process. Call a skilled securities law attorney today to learn more about each step of the upcoming process.

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Judex Law, LLC is a full-service securities and business law firm located in Broomfield, Colorado. We handle a range of securities law matters, including disclosures, broker/securities fraud and negligence, state regulatory defense, securities compliance, FINRA complaint expungement, and arbitration. We also help small businesses and startups with business formation, employment policies, operating agreements, partnership agreements, business taxes, and contracts.

  • Phone: (303) 523-4022
  • Broomfield, CO 80020
    In-person consultations by appointment only.
  • Hours: 6:00 am - 6:00 pm, Monday - Saturday

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