Simms Law, P.C. provides legal representation in Dallas, TX with experienced guidance to help you navigate complex matters and protect your interests.

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.

Diversification is a process by which a person includes several kinds of financial instruments in his or her investment portfolio in order to make it less vulnerable to changes in the market.

The Financial Industry Regulatory Authority (“FINRA”) recently announced plans to crack down on broker misconduct. In Regulatory Notice 21-09, the self-regulatory organization announced that new rules will address brokers with a significant history of misconduct and their employers

If you’re an investor, you place a lot of trust in your financial advisor. After all, as a fiduciary, your financial advisor is supposed to act in your best interests.