Time.com (October 21, 2014) -- Brokers, according to an October memo, can recommend clients buy bond funds at the center of a recent $5.2 million settlement and hundreds of arbitration claims. UBS is…
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In the Media
American Diversity Report (October 20, 2014) -- A new report shows that 80 % of financial industry arbitrators are male with an average age of 69. Contrary to claims made by the FINRA, its pool of…
news.yahoo.com (Reuters) (Octobr 14, 2013 6:36 pm) -- Wall Street's industry-funded watchdog issued new guidance late Monday that gives arbitrators more information about their responsibilities in a…
A well-educated arbitrator will be better able to see phony arguments from both sides in a dispute.InvestmentNews (October 12, 2014 11:01 pm) -- The Public Investors Arbitration Bar Association has…
AboutLawsuits.com (October 10, 2014) -- A group of attorneys who represent investors in claims against stock brokers and the financial industry is criticizing the independent regulatory organization…
Business Leader Singapore (October 9, 2014 3:50 am) -- Many investors are behind on their retirement savings following bear-market setbacks. Others have just started saving late. Charles Schwab’s…
RIA Central Digests (October 9, 2014) -- Too old and too male is how the Public Investors Arbitration Bar Association (Piaba) described Finra arbitrators in a recent study. The association also…
TheStreet (October 8, 2014 5:00 am) -- Did you hear the one about the guy who got on a Finra arbitration panel even though he'd pled no-contest after being indicted for practicing law without a…
NASAA Statement on PIABA Arbitration StudyNASAA (October 8, 2014) -- The following is a statement from William Beatty, Washington Securities Director and president of the North American Securities…
USA Today (October 7, 2014 3:41 pm) -- The Financial Industry Regulatory Authority arbitration pools that decide many investor disputes with brokers lack diversity, raising the prospect the system…