Here’s How FINRA Has Failed Retail Investors

FINRA has failed retail investors
Market News: How FINRA has failed the retail investor community.

FINRA, or the Financial Industry Regulatory Authority, is a non-governmental organization that oversees the securities industry in the United States.

It is responsible for regulating broker-dealers, issuing and enforcing rules for the industry, and protecting investors from fraud and other unethical practices.

While FINRA plays a crucial role in ensuring the integrity of the financial markets, it has been criticized for its handling of certain cases and its failure to adequately protect investors.

One of the main criticisms of FINRA is its arbitration process, which is often used to resolve disputes between investors and broker-dealers.

Critics argue that the arbitration process is biased in favor of the broker-dealers and does not provide investors with a fair and impartial hearing.

Here’s the latest market news.

Join the newsletter to receive market news and updates straight to your inbox.

Ways FINRA Has Been Complicit

How FINRA has been part of the problem.
How FINRA has been part of the problem | FINRA fraud –

Investors have reported that they were not allowed to present certain evidence or witnesses during arbitration, and that the arbitrators were not neutral and impartial.

Additionally, the arbitration process is often confidential, which means that investors are unable to share their experiences or warn others about potential issues.

Another criticism of FINRA is its failure to adequately police the securities industry and to hold broker-dealers accountable for their actions.

In some cases, FINRA has been criticized for not taking action against broker-dealers who have engaged in unethical or illegal practices, such as insider trading or fraud.

Additionally, some investors have reported that FINRA did not respond to their complaints or take action against the broker-dealers involved.

This has led to a lack of trust in FINRA’s ability to protect investors and to maintain the integrity of the financial markets.

Also Read: Retail Investors Say FINRA Abused Its Power by Halting MMTLP

Transparency and Accountability

In addition to these issues, FINRA has also been criticized for its lack of transparency and accountability.

For example, some critics argue that FINRA’s decision-making process is not transparent and that it is not accountable to investors or the public.

Additionally, FINRA’s funding model has also been criticized, as it is funded largely by the securities industry, which some argue creates a conflict of interest.

Overall, while FINRA plays a crucial role in regulating the securities industry and protecting investors, it has faced criticism for its handling of certain cases and its failure to adequately police the industry.

Critics argue that its arbitration process is biased, that it does not adequately hold broker-dealers accountable, and that it lacks transparency and accountability.

It is important for FINRA to address these concerns and to work to improve its processes and policies in order to better protect investors and maintain the integrity of the financial markets.

What Can Retail Investors Do?

FINRA market manipulation | Is FINRA corrupt?
FINRA market manipulation | Is FINRA corrupt?

Retail investors can voice their opinions and concerns on FINRA market injustices on social media in order to raise awareness. #FINRAFraud

Share this article if you found it valuable to the community.

Thank you for being a loyal reader of the blog. We are dedicated to providing valuable and informative content that is free of charge to our readers. However, running a blog is not free, and we rely on the support of our readers to keep our content accessible to all.

If you have enjoyed our content and have found it useful, please consider making a donation to help us continue to provide high-quality content. Your support will help us to continue to produce valuable content and to improve our website and services.

Every donation, no matter how big or small, is greatly appreciated. If you are able to support us, please click the “Donate” button below and make a contribution. Your support will make a big difference to our ability to continue providing valuable content to our readers.

Thank you for your support and for being a valued reader of the blog.

Sincerely, FrankNez

You can follow me on Twitter & Instagram.


  1. Rick Chopra

    Fines ripped all MMTLP investors and played a dirty game to protect HF and Brokers. They should have notified to investors before halting the trade.


    His the hell is FINRA not government regulated?

    • DL

      This is full of vague assertions and poorly disguised gossiping

      • Cyntax

        Nice try Shorty

  3. FrankNez

    Let’s start a discussion! Leave your thoughts below.

© 2024

Theme by Anders NorenUp ↑