WealthManagement.com (February 8, 2018) -- Up to 30 percent of monetary awards to investors in arbitration claims go unpaid, the self-regulator said. “It’s crystal clear this is and remains a huge…
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WealthManagement (February 8, 2018) - Up to 30 percent of monetary awards to investors in arbitration claims go unpaid, the self-regulator said. “It’s crystal clear this is and remains a huge problem…
InvestmentNews (February 8, 2018) - Brokerage regulator seeks to involve SEC, Congress in solutions
More than a quarter of arbitration awards have gone unpaid in most of the last several years,…
FinancialPlanning (February 8, 2018) - Brokers are pushing back against proposed FINRA rule changes that will make it much more difficult to erase customer complaints from their regulatory records…
Crowdfund Insider (January 24, 2018) - California is a state that has attempted to enact intrastate crowdfunding regulations multiple times. Honestly, I have lost count as to how many times bills…
InvestmentNews (January 23, 2018) - The settlement would make the harmed investors whole, but can they collect?
Finra arbitrators awarded more than $4 million to a group of investors who say a…
The Motley Fool (January 9, 2018) - Know your rights, or you could miss out on money you're entitled to.
It is not uncommon for FINRA to receive calls from investors about a securities class action…
FinancialPlanning (January 4, 2018) - Few advisors may be aware that brokers who have been banned — and even those with criminal pasts — may represent aggrieved investors in FINRA’s arbitration forum…
Financial Advisor (December 19, 2017) - Would you hire a non-attorney to represent you in Finra arbitration if you knew he had a 1 percent win rate? How about if he routinely cost investors tens of…
InvestmentNews (December 18, 2017) - Plaintiffs' attorney group PIABA criticizes work of representatives not subject to regulatory body
A report by the Public Investors Arbitration Bar Association…