FINRA Investigations
An investigation by the Financial Industry Regulatory Authority is a serious matter for any financial professional. James, McElroy & Diehl has considerable experience representing stockbrokers and other investment professionals in connection with FINRA investigations, and can help our clients navigate the process from start to conclusion. Our knowledge of the potential traps and hidden issues inherent in any FINRA investigation has helped us help our clients minimize their risk and achieve a beneficial outcome.
