Bloomberg (October 16, 2013 3:24 pm) - Stockbrokers routinely succeeded in erasing settlements of customer complaints from their regulatory records in the wake of 2008’s market turmoil, making it…
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BloombergBusiness (October 16, 2013 3:24 pm) -- Stockbrokers routinely succeeded in erasing settlements of customer complaints from their regulatory records in the wake of 2008’s market turmoil,…
kelofm.com (October 16, 2013 2:13 pm) -- Brokers who seek to erase black marks from their public records succeed at an “alarmingly high” rate following settlements with investors who alleged they…
FINRA.org (October 16, 2013) -- PIABA's study underlines and emphasizes serious concerns FINRA shares with respect to the expungement process. As a result of these concerns, FINRA recently provided…
Reuters (October 16, 2013) - Brokers who seek to erase black marks from their public records succeed at an "alarmingly high" rate following settlements with investors who alleged they lost money,…
looktowink.com (October 16, 2013) -- Brokers who are the subject of investor arbitration cases can clear their record of any wrongdoing too easily, according to a lawyers’ group that represents…
Financial Advisor (October 16, 2013) -- It’s far too easy for brokers to clean up their disciplinary records, says a new study of arbitrator-ordered expungements. Finra arbitrators are…
Alleged wrongdoing by stockbrokers often erased from public records, study finds, by Walter Hamilton
Los Angeles Times (October 16, 2013) -- Alleged wrongdoing by stockbrokers is routinely erased from public records, making it difficult for investors to check the past conduct of financial advisers…
Troubling Findings Raise Question: Are Investors Being Kept in the Dark About Arbitration Cases?finanzen.ch (October 16, 2013) – Investors who rely on public records to check out the background of…
corney conchie (October 15, 2013) -- Wall Street's industry-funded watchdog issued new guidance late Monday that gives arbitrators more information about their responsibilities in a process that…