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ADRResources (Investment News) (June 21, 2009) -- The Public Investors Arbitration Bar Association, a trade group for attorneys who represent investors in securities arbitrations, has formally asked…
ComplianceJobs.com (Dow Jones) (May 29, 2009) - It looks like the Financial Industry Regulatory Authority took to heart all the criticism about a proposal that would have obliged investors in…
Forbes (August 24, 2009 1:00 pm) -- This is an ongoing series by securities attorney Seth E. Lipner about arbitration. For earlier installments please read:1. Is Arbitration Really Cheaper?2.…
Mad as hell over losses? You can go to arbitration, but the deck will be stacked against you.Kiplinger (April 2009) -- In her stage act, Tissa Hami, a stand-up comic who was born in Iran, boldly…
Financial News (The Wall Street Journal) (December 18, 2008) -- President-elect Barack Obama has chosen Mary Schapiro, chief executive of a securities-industry regulator for securities firms, to…
The Wall Street Journal (December 18, 2008 11:01 am) -- President-elect Barack Obama has chosen Mary Schapiro, chief executive of a securities-industry regulator for securities firms, to lead the…
SEC likely to approve prohibition of pre-case motions to dismissInvestmentNews (November 2, 2008 11:01 pm) -- The Securities and Exchange Commission is expected to approve a controversial rule that…
Alibaba.com (October 5, 2008 8:32 pm) --Taxes and regulation of the financial-services industry are among the top concerns of financial advisors this election season.Arbitration reform also ranks…
SEC 'Missed Opportunity' to Save Auction-Rate Buyers (Update2), by Michael McDonald and David Scheer
Bloomberg (September 8, 2008 7:15 pm) -- The U.S. Securities and Exchange Commission missed a chance to protect investors from the collapse of the $330 billion auction-rate market by failing to…
Auction Rate Preferreds (August 9, 2008) -- Securities regulators have created a special process for resolving claims related to auction-rate securities, a move that was welcomed by some who have…