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Contact: Doug Schriner
Phone: (303) 907-7347
Address: 24211 E. Wyoming Pl., Aurora CO 80018
HOURS: 8:30 a.m to 5:00 p.m MST
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Read the latest article on BICE, the Best Investment Contract Exemption, is a trap.
FINRA Rule Filings
January 1st
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to implem…
January 1st
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend Section 1 (General Information) of the Uniform A…
SEC Proposed Rules
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Testimonials
When I needed help regarding a bogus arbitration filed by a client of my old firm, Doug Schriner and FA Risk Management provided the advice and guidance at a critical point in my career. Their support helped me through the process and ultimately cleared my record of the false accusations. The value and service of FA Risk Management is something I recommend to every advisor.
Tony Taddeo, CFP
