In the Media

Finra Doesn’t Make Public All Its Information About BrokersWall Street Journal (December 26, 2014 8:47 pm) -- Wall Street’s own national watchdog doesn’t make public all the regulatory red flags it…
cleveland.com (November 28, 2014 6:30 am) -- Most of us know more about Kim Kardashian's rear end than we do about those pesky arbitration clauses found in our credit card, cell phone and online…
PIABA Loses FOIA Suit Against SEC Seeking FINRA Arbitration Program Recordssacarbitration.com (November 20, 2014) -- Right after we went to press last week came news that the D.C. Circuit had ruled…
SAC.com (November 20, 2014) -- Right after we went to press last week came news that the D.C. Circuit had ruled against PIABA in its suit against the SEC seeking disclosure under the Freedom of…
Federal Court Kills PIABA FOIA SEC Demand For FINRA Records, by Bill SingerBrokerAndBroker.com (November 17, 2014) -- According to the homepage of The Financial Industry Regulatory Authority ("FINRA…
todayonline.com (Reuters) (November 14, 2014 12:17 am) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a…
DC Circ. Says SEC Can Withhold FINRA Arbitration Docs, by Stephanie Russell-KraftLaw360, New York (November 14, 2014, 1:40 PM) -- The U.S. Securities and Exchange Commission may withhold documents it…
BusinessInsider.com (Reuters) (November 14, 2014, 12:38 pm) -- The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process…
WebRadar (Reuters) (November 14, 2014 11:51 am) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a group of…
Reuters (November 14, 2014 11:51 am) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a group of investors…