Financial Industry Regulatory Authority (FINRA)

Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) under the Securities Exchange Act of 1934, successor to the National Association of Securities Dealers, Inc. (NASD).

Case Study

Securities Investment Compliance Expert

A securities investment compliance expert was needed for a class action securities fraud action involving a financial services investment company.

Case Study

Tenant-In-Common Damages Expert

A tenant-in-common damages expert was needed for a commercial real estate dispute involving claims of negligent misrepresentation in connection with a real property investment vehicle facing bankruptcy.