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Altoona Securities Law Blog

On Behalf of | Jul 29, 2019 |

E*Trade fined by FINRA

The Financial Industry Regulatory Authority is a self-governing agency that was established to protect investors in Pennsylvania and around the country from stock market manipulation. On Jan. 13, FINRA announced that the trading platform E*Trade has agreed to pay a...

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Churning and excessive fees

One way to avoid a shady broker is by checking his or her association with the Financial Industry Regulatory Authority (FINRA). In Pennsylvania, FINRA offers membership to its qualifying brokers. Finding a broker that’s involved with this agency means you’ve found a...

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Benefits of FINRA

FINRA stands for the Financial Industry Regulatory Authority. FINRA is an independent regulatory organization that is not part of the government. The job of FINRA is to provide industry oversight of finance and brokers without requiring the government to step in. It...

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