Sentences with phrase «maintained at a brokerage firm»
If your claim arises from an investment account maintained at a brokerage firm, you may be required to arbitrate your claim with a FINRA appointed arbitration panel.
http://www.pswlaw.com/ Not exact matches
To protect brokerage firms from such losses, the Financial Industry Regulatory Authority (FINRA) requires you to maintain a margin account balance of at least 25 % of the market price of any stock you buy to hold in your account.
This includes your credit cards and loans, other savings or checking accounts you may have elsewhere, and even investments and retirement accounts maintained at other brokerage firms.