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Understanding a FINRA Exam, Part 3- Dispositions

Posted by Joel Beck | Mar 31, 2016 | 0 Comments

In this third installment of our video blog series, attorney Joel Beck discusses the three common ways that a FINRA exam gets resolved, either through the exam being filed without action, resolved through an informal action, or resolved through a formal disciplinary action against the registered ...

Understanding a FINRA Exam, Part 1

Posted by Joel Beck | Dec 16, 2015 | 0 Comments

Some of the more common questions we receive from prospective clients focus on FINRA exams and include questions like: How are they started? What happens in them? What does it mean? How long does it take? What can happen? How do I deal w...

The Basics of a FINRA Exam – Part 2

Posted by Joel Beck | May 16, 2015 | 0 Comments

In this series of posts on the basics of FINRA examinations, we're providing an overview of the examination and formal action disciplinary processes. Today's post discusses the two main types of FINRA examinations. FINRA examinations, or investigations, are generally characterized as either...

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