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In the Media
TheFreeLibrary (March 6, 2014) -- It's Time to Harmonize FINRA and State Disclosures to Public: FINRA's BrokerCheck Routinely Deletes Information about Bankruptcies, Tax Liens, Firings, Flunked Tests…
Three Ways To Vet Your Broker, by John WaskiForbes (March 5, 2014 9:17 am) -- If you hired a broker to manage your finances or buy securities, wouldn’t you want to know if they were honest?
Forbes (March 5, 2014 9:17 am) -- If you hired a broker to manage your finances or buy securities, wouldn’t you want to know if they were honest?You can’t always know a broker’s complete background.…
PIABA Says BrokerCheck Is Missing Key Data and Needs Fixingsacarbitration.com (March 5, 2014) -- PIABA issued a press release and report on Thursday, charging that FINRA’s BrokerCheck® system…
Broker Due Diligence – Changes and Criticism of FINRA’s BrokerCheckMSA Investigations (May 5, 2014 8:40 am) --The Financial Industry Regulatory Authority (FINRA), Wall Street’s independent and non-…
Finra approves rule to redefine public arbitrators, by Mason BraswellRegulator will send a proposal to the SEC that could limit those with industry ties from serving on panelsInvestmentNews (Feb 13,…
InvestmentNews.com (Febraury 13, 2014 11:28 am) -- Finra on Thursday advanced a revised proposal that would require brokerage firms to include a link on their websites and other online communications…
The Wall Street Journal (February 11, 2014 3:52 pm) -- Wall Street's self-regulator is planning new, tighter restrictions on the use of brokerage industry insiders as arbitrators in investors'…
Proposal would draw a bright line to exclude those with industry tiesInvestmentNews (February 11, 2014 1:57 pm) -- The Financial Industry Regulatory Authority Inc. is making a move to further limit…
AvidTrader (February 11, 2014 1:57 pm) -- The Financial Industry Regulatory Authority Inc. is making a move to further limit Wall Street veterans' ability to serve as public arbitrators, according…