In the Media

Financial Advisor (March 8, 2018) -- The Public Investors Arbitration Bar Association (PIABA) used a press conference Wednesday to call on Finra to create an “investor recovery pool” that would use…
Financial Advisor IQ (March 8, 2019) -- Sen. Elizabeth Warren, D-Mass., wants to make Finra liable for unpaid arbitration awards, ThinkAdvisor writes. The senator’s Compensation for Cheated Investors…
Barron's (March 8, 2018) -- Here’s a good example of an investor who won an arbitration case against his advisor, only to get stiffed. It’s part of a huge problem that legislation from Sen. Elizabeth…
InvestmentNews (March 8, 2018) -- SEC says Merrill missed 'red flags' while selling millions of shares Bank of America Merrill Lynch has reached a settlement agreement with the Securities and…