Simms Law, P.C. offers legal help in Boston, MA, providing clarity on your rights, case strategy, and the steps involved in resolving your legal matters.

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The Financial Industry Regulatory Authority (FINRA) recently announced a proposal to impose restrictions on firms with significant misconduct histories.

It was recently revealed that the Financial Industry Regulatory Authority, Inc. (FINRA) imposed higher fines on financial advisors and member firms in 2018 than it did in 2017.

The Financial Industry Regulatory Authority (FINRA) recently fined and suspended a broker for allegedly generating $450,000 in commissions from unsuitable mutual fund switches

The Financial Industry Regulatory Authority (FINRA) is a U.S. corporation and self-regulatory organization. FINRA is a consolidation of the enforcement, member regulation, and arbitration operations of NASD, the New York Stock Exchange

The Financial Industry Regulatory Authority (FINRA) recently proposed rule changes that would impose new conditions on financial firms with long histories of misconduct.