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In the Media
Financial Advisor (November 1, 2021) - Brokers and advisors who close up shop and declare bankruptcy to sidestep paying arbitration awards to the investors they defrauded are the scourge of every…
The American Prospect (October 6, 2021) - Persistent advocates and new strategies have led some companies to relent on blocking access to courts. But there’s a long way to go.
It sounds like a scene…
AdvisorHub (October 6, 2021) - The North American Securities Administrators Association unveiled this week proposed model rules through which state regulators could revoke licenses of state-…
InvestmentNews (October 5, 2021) - The North American Securities Administrators Association, the group representing state and provincial securities regulators, will put out for public comment a set…
MoneyTalksNews (October 5, 2021) - Don't automatically expect to be compensated — even if you are granted an arbitration award.
If you believe your broker or brokerage firm has harmed you…
Investment Executive (October 5, 2021) - Proposed rules aim to address unpaid compensation to harmed investors.
With millions in arbitration rulings against U.S. broker-dealers going unpaid, the…
Financial Advisor IQ (September 30, 2021) - The Public Investors Advocate Bar Association is again calling for a national investor recovery pool to cover unpaid Financial Industry Regulatory…
CNBC (September 30, 2021) - Nearly 30% of investor dispute awards went unpaid from brokers in 2020, according to a report from the Public Investors Advocate Bar Association.
Many investors don’t…
Investment News (September 29, 2021) - The problem has continued its upward trajectory, said the lawyers organization, since releasing its first report in 2016.
Nearly one out of three customers who…
Financial Planning (September 29, 2021) - Questionable brokerages with rogue salespeople deservedly get slammed for routinely failing to pay regulator-ordered money to investors whom they’ve cheated…