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Further Drop in Already Weak Investor Confidence in FINRA Arbitration Feared If Step Moves Ahead; "Non-Public Arbitrator" Category Should Encompass All With Direct and Indirect Ties to Securities…

Wall Street and attorneys representing investors can't agree how to improve the arbitration system used to settle disputes between brokerages and their customers.Money (August 1, 2014) -- A proposal…

Reuters (July 31, 2014) -- A proposal to strengthen the arbitration process that aggrieved investors use against securities brokers is running into obstacles just as the U.S. Securities and…

ownzones.com (Reuters) (July 31, 2014) -- A proposal to strengthen the arbitration process that aggrieved investors use against securities brokers is running into obstacles just as the U.S.…

To Better Protect Investors, SEC Needs to Approve FINRA-Proposed Rule That Would Prohibit Arbitration Settlements From Being Conditioned on Investor Agreement to Clear “Black Marks” From a Broker’s…

financialadvisoriq.com (July 24, 2014) -- A newly approved rule aimed at making it harder for brokers to scrub their records of client complaints doesn’t go far enough, critics say. In fact,…

BenefitsPro (July 24, 2014) -- Unhappy investors now have a little more leeway when seeking arbitration over a dispute with their broker, now that the Securities and Exchange Commission has approved…

Regulator signs off on a rule that stops brokers from including expungement as a term in settlements in customer arbitrationsInvestmentNews (July 23, 2014 1:25 pm) -- The SEC has signed off on a rule…

newsroom.me (Reuters) (July 23, 2014 1:18 pm) -- The U.S. Securities and Exchange Commission has approved a new brokerage industry rule to ban dispute settlements between securities firms and…

Forbes (July 23, 2014 10:01 am) -- Is your investment representative’s bankruptcy your business? It should be. But Wall Street—as usual—is fighting full disclosure, and bankruptcy courts may be…