To check if any firm or investment professional is working in compliance with the regulations, FINRA often conducts investigations. These investigations may be conducted due to an arbitration claim, customer complaint, etc. After proper investigation, if FINRA finds any violations, it proposes a penalty.
For legal proceedings, stockbrokers need business litigators that can represent them in FINRA disciplinary hearings. Usually stockbrokers choose experienced lawyers like Martin Russo because of their successful track record.
Martin Russo is a well-known business attorney, who has successfully handled a large number of FINRA disciplinary hearings for his clients. He has experience in counseling investment firms and professionals in investigations and enforcement proceedings initiated by agencies like SEC, CFTC, NYSE, and Department of Justice.
