Those with a grievance should be able to make their case in a real court of lawInvestmentNews (July 30, 2012 10:44 am) -- “Sunlight is said to be the best of disinfectants,” the future Supreme Court…
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Association wants to make it easier for brokers to clean up their official recordsInvestmentNews (May 25, 2012 2:04 pm) -- The Securities Industry and Financial Markets Association wants Finra to…
A Jury of Peers for Broker Disputes SmartMoney.com (May 20, 2012) -- The scenario is not unlike those Olympic lowlights of yore: A Soviet gymnast flubs the floor exercise; a moment later, the Soviet…
Bloomberg (May 4, 2012 6:00 pm) - American business entered its Teflon era on a spring day 25 years ago.Lawyer Madelaine Eppenstein had taken the morning off from work for a parent-teacher event at…
Reuters (March 6, 2012 2:56 am) -- In an ideally-transparent world, you'd know as much about your broker as you know about the ingredients in packaged junk food label: All of the bad stuff would be…
ProQuest (International Financial Law Review) (March 2012) -- Why a New York Court of Appeals decision to allow investor litigation against financial advisers may mean higher advisory fees for…
In Digest Biz (Reuters) (February 27, 2012 11:10 am) – Ongoing efforts by regulators to give the public more details about financial advisers’ backgrounds still haven’t solved a key problem — getting…
Popularity of new program could quell calls to end mandatory arbitrationInvestment News (January 29, 2012 11:01 pm) -- After nearly a full year, the Financial Industry Regulatory Authority Inc.'s…
Popularity of new program could quell calls to end mandatory arbitrationInvestor Advocates (Investment News) (January 29, 2012 11:01 pm) -- After nearly a full year, the Financial Industry Regulatory…
Popularity of new program could quell calls to end mandatory arbitrationJamesCatledge.org (InvestmentNews) (January 29, 2012 11:01 pm) -- After nearly a full year, the Financial Industry Regulatory…