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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…

Financial Advisor (July 23, 2014) -- he Securities and Exchange Commission on Tuesday approved a Financial Industry Regulatory Authority proposal that would prohibit brokers from paying off customers…

Regulators taking care of more pressing mandatory rules firstInvestmentNews (July 18, 2014 12:11 pm) -- As financial regulators slog through hundreds of required rulemakings in the sprawling Dodd-…

WealthManagement.com (July 17, 2014 ) -- The Financial Industry Regulatory Authority has assembled a 13-person task force to recommend improvements to the arbitration process. The task force will be…

How to find the best person to help you manage your life savingsMarketWatch (July 7, 2014 8:04 am) -- Who should investors turn to for financial advice?Brokers, advisers and planners have different…

The market rally underscores the importance of knowing the standard to which your financial pro is held.The Wall Street Journal (July 3, 2014 5:10 pm) -- Who should investors turn to for financial…

As Finra looks to make BrokerCheck more visible, youthful indiscretions come back to haunt some advisersInvestmentNews.com (June 27, 2014 2:24 pm) -- As Finra looks to boost awareness of its database…