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In the Media
Lawyers plan to lobby Congress to curb mandatory arbitration and regulators' readiness to clear brokers' namesInvestmentNews (December 27, 2013 10:28 am) -- A group of lawyers that represents…
A bipartisan pair of legislators wants to make it more difficult for investment professionals to wipe their disciplinary records cleanInvestmentNews (December 16, 2013 5:41 pm) -- A bipartisan duo of…
Highbeam Research (Washington, DC December 16, 2013) -- In an effort to protect investors and the integrity of the Financial Industry Regulatory Authority's (FINRA) BrokerCheck program, U.S. Senators…
reed.senate.gov (Washington, DC December 16, 2013) -- In an effort to protect investors and the integrity of the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck program, U.S. Senators…
cheapstocksfor2015.com (InvestmentNews) (December 13, 2013) -- Finra is considering raising the fees related to pursuing an arbitration claim against a brokerage firm in order to increase the pay for…
Reuters (December 5, 2013 10:45 am) -- A long-running battle over whether the top U.S. securities regulator should release records about its supervision of Wall Street's arbitration process is about…
Registration fees for equity crowdfunding portals also on agenda at regulator's Thursday meetingInvestmentNews (December 4, 2013 10:35 am) -- Finra is considering raising the fees related to pursuing…
Registration fees for equity crowdfunding portals also on agenda at regulator's Thursday meetingMcGladrey Litigation Review (December 4, 2013 10:35 am) -- Finra is considering raising the fees…
sutherland.com (SAC) (December 2013) -- On October 18, 2013, the Public Investors Arbitration Bar Association (PIABA) issued a “study” criticizing FINRA’s expungement procedures. This “study” has…
Regulator zeroed in on wrongdoers through its high-risk program, Ketchum tells senatorInvestmentNews (Nov 22, 2013 11:45 am) -- Finra has identified more than three dozen brokers since the beginning…