March 9

Securities Arbitration

Godbout Law’s attorneys handle securities litigation and arbitration matters throughout Massachusetts. Most of these claims are handled in arbitrations before the Financial Industry Regulatory Authority (FINRA).  The Firm’s securities litigation practice involves arbitrations regarding investment advisors, financial planners, broker/dealers and registered representatives and investors.  The securities arbitration process can be difficult to maneuver without experienced.

March 9

FINRA Investigations

When a registered representative receives a request from the Financial Industry Regulatory Authority (FINRA) under Rule 8210, it can be a scary and uncertain proposition. The response to FINRA’s 8210 Request is an extremely important document that will often determine whether FINRA ends and closes its inquiry, or takes the next step and refers it.