WealthManagement.com (May 27, 2015) - Arbitration in the securities industry – between broker-dealers and their customers – wasn’t always mandatory. In 1972, the predecessor to FINRA created a rule…
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In the Media
Finra: From 2013-14, firms seeking the balance on unpaid loans from ex-brokers won 93% of the timeWall Street Journal (May 14, 2015 9:46 am) -- “When can we expect payment?” asks the soulless lawyer…
New York Times (May 18, 2015) - In most professions, it would take only one or two acts of egregious conduct before troubled employees were shown the door. In the case of one stockbroker who has…
FundFire (May 13, 2015) - The Financial Industry Regulatory Authority (FINRA) is adding some teeth to its sanction guidelines, urging tougher consequences for brokerages and reps that commit fraud or…
SecuritiesLawyersBlog.com (May 13, 2015) --The investor advocacy bar association PIABA (the Public Investors Arbitration Bar Association) has recently issued a report called “Major Investor Losses…
Barrons.com (May 1, 2015 8:25 pm) - Nearly every brokerage firm advertises that $500,000 of the holdings in client accounts, including up to $250,000 in cash, is insured by the Securities Investor…
Reuters (April 22, 2015 9:54 am) - A U.S. Labor Department plan to require best-interest contracts from retirement account brokers would make it easier for investors who try to recoup money for…
muckrack.com (Reuters) (April 22, 2015 9:45 am)- A U.S. Labor Department plan to require best-interest contracts from retirement account brokers would make it easier for investors who try to recoup…
globalpost.com (Reuters) (April 22, 2015 10:15 am) - A U.S. Labor Department plan to require best-interest contracts from retirement account brokers would make it easier for investors who try to…
Wealth Management (Reuters) (April 22, 2015) - A U.S. Labor Department plan to require best-interest contracts from retirement account brokers would make it easier for investors who try to recoup…