iStock stock market thumbs up_23118882_The Financial Industry Regulatory Authority (“FINRA”) is the largest independent, not-for-profit regulator of securities firms conducting business in the United States.  FINRA is authorized by the United States Congress to provide regulatory oversight over registered brokers and firms, bring disciplinary actions against offending brokers/firms, and otherwise seek restitution for investors harmed by unfair business and trading practices. (Continue reading).