{"id":8234,"date":"2019-05-22T12:04:54","date_gmt":"2019-05-22T16:04:54","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=8234"},"modified":"2019-05-22T12:04:54","modified_gmt":"2019-05-22T16:04:54","slug":"recovering-losses-through-finra-arbitration","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/recovering-losses-through-finra-arbitration\/","title":{"rendered":"The Six Most Common FINRA Arbitration Claims In 2018 Silver Law Group Helps Investors Recover For Stockbroker Misconduct Through FINRA Arbitration"},"content":{"rendered":"<h3><a href=\"https:\/\/www.silverlaw.com\/unsuitable-investment-advice.html\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"alignleft size-medium wp-image-8237\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Gavelsmall-2-300x200.jpg\" alt=\"Gavelsmall-2-300x200\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Gavelsmall-2.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2019\/05\/Gavelsmall-2-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Suitability<\/a> for Retail Customers<\/h3>\n<p>FINRA rule 2111 ensures that firms and people associated with firms deal with customers fairly. The rule is composed of three main parts: reasonable basis suitability, customer-specific suitability, and quantitative suitability. FINRA will observe unsuitable recommendations to retail investors and also deficiencies in some firms; supervisory systems.<\/p>\n<p>In the past, FINRA has observed situations where customers&#8217; financial needs were not considered. Registered representatives failed to think about cumulative fees, sales charges, and commissions. Failure to understand the specific features and terms of products recommended to customers was a common contributor to the problems that FINRA observed. <a href=\"https:\/\/www.silverlaw.com\/blog\/recovering-losses-through-finra-arbitration\/#more-8234\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Suitability for Retail Customers FINRA rule 2111 ensures that firms and people associated with firms deal with customers fairly. The rule is composed of three main parts: reasonable basis suitability, customer-specific suitability, and quantitative suitability. FINRA will observe unsuitable recommendations to retail investors and also deficiencies in some firms; supervisory systems. In the past, FINRA [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588,580],"tags":[],"class_list":["post-8234","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Six Most Common FINRA Arbitration Claims In 2018 Silver Law Group<\/title>\n<meta name=\"description\" content=\"Silver Law Group helps investors recover for stockbroker misconduct, including overconcentration and churning, through FINRA arbitration.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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