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InvestmentNews (August 4, 2008 11:01 pm) -- Many advisers who have been involved in arbitration cases are welcoming a move to give investors the option of having all-public arbitration panels. But…
Washington Post (August 3, 2008) -- Let's say you had $50,000 in auction-rate securities that your broker said were as safe as money-market funds. The market collapsed, and you sold at an 80 percent…
Bloomberg (July 30, 2008 3:24 pm) - Let's say you had $50,000 in auction-rate securities that your broker said were as safe as money-market funds. The market collapsed and you sold at an 80 percent…
Bloomberg (July 25, 2008 7:17 am) -- The Financial Industry Regulatory Authority will test a change in how it resolves investor-broker disputes, removing industry representatives from three-person…
Bloomberg (July 24, 2008 11:07 am) - The Financial Industry Regulatory Authority will test a change in how it resolves investor-broker disputes, removing industry representatives from three-person…
Highbeam Business (June 16, 2008) -- The Public Investors Arbitration Bar Association has questioned parts of the Financial Industry Regulatory Authority's proposal to change forms U4 and U5, the…
Wall Street Letter (WSL) (June 16, 2008) -- The Public Investors Arbitration Bar Association has questioned parts of the Financial Industry Regulatory Authority's proposal to change forms U4 and U5,…
Wall Street Journal (June 5, 2008 11:01 pm) -- Despite the anger harbored by Main Street investors toward brokers who sold them auction-rate securities, some of the people trying to protect…
But its threshold for reporting settlements would rise to $15,000Investment News (May 5, 2008 11:01 pm) -- The Financial Industry Regulatory Authority Inc. aims to close a major loophole in its…
telegram.com (March 28, 2008 5 am) -- Have you been messing with your cash? Howls are arising from investors who parked liquid funds, or funds they expected to be liquid, in auction-rate…