The Financial Industry Regulatory Authority, FINRA, is an independent regulator for all securities firms doing business in the United States. FINRA licenses individuals and admits firms to the securities industry, writes rules to govern their behavior, examines them for regulatory compliance, and is authorized by the U.S. Securities and Exchange Commission (SEC) to discipline registered representatives and member firms that fail to comply with federal securities laws and FINRA’s rules and regulations. It provides education and qualification examinations to industry professionals. FINRA’s mission is to protect investors by making sure the United States securities industry operates fairly and honestly.
About Owen Gallagher
Owen Gallagher is an experienced insurance litigator as well as a certified mediator and arbitrator who specializes in insurance industry disputes. His interest and affinity for insurance began at a young age working the counter at his father’s assigned risk agency in Roxbury. Over the course of his career, Owen has argued a number of cases in the Massachusetts Supreme Judicial Court and has helped agents, insurance companies, and lawmakers alike with the complexities and idiosyncrasies of insurance law in the Commonwealth. Owen can be reached here.