Mark E. Novotny

Anne Marie O'Brien

Partners Mark E. Novotny and Anne Marie O’Brien have been approved by the Financial Industry Regulatory Authority (FINRA) to serve as qualified arbitrators for deciding disputes. Mr. Novotny and Ms. O’Brien underwent extensive background checks, interviews, training, and testing to become qualified FINRA arbitrators. FINRA arbitrators are independent and are chosen to hear disputes and issue final, binding decisions. FINRA provides an arbitration forum, pursuant to rules approved by the SEC, to serve the investing public and the securities industry as neutrals to maintaining a fair, impartial and efficient system of dispute resolution. FINRA, overseen by the SEC, writes rules, examines brokerage firms, and enforces compliance with FINRA rules and federal securities laws. If brokers break the rules, FINRA is empowered to impose sanctions and issue awards. In addition, FINRA matters deal with trading market activities in the U.S. equities, options and fixed income markets.