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In the Media
Does your broker have a clean record? - Study reveals 'alarmingly' high percentage of complaints removed from records, Jodi Mohrmann, Managing editor of special projects, jmohrmann@wjxt.comNews4jax.…
onenewspage.co.uk (January 2, 2014) -- professionals with their money. but there may be some out there doing a bad job, with a secret history of complaints that have been wiped clean. tonight, a…
KOB Albuquerque, NM (January 2, 2014 11:08 pm) -- professionals with their money. but there may be some out there doing a bad job, with a secret history of complaints that have been wiped clean.…
Grassley/Reed Letter to FINRA Cites PIABA Study Showing StockbrokerExpungement Levels At Almost 97 Percent in Settled Cases When Requested by Brokerlifehealth.com (December 20, 2013) – Jason Doss,…
Lawyers plan to lobby Congress to curb mandatory arbitration and regulators' readiness to clear brokers' namesInvestmentNews (December 27, 2013 10:28 am) -- A group of lawyers that represents…
A bipartisan pair of legislators wants to make it more difficult for investment professionals to wipe their disciplinary records cleanInvestmentNews (December 16, 2013 5:41 pm) -- A bipartisan duo of…
Highbeam Research (Washington, DC December 16, 2013) -- In an effort to protect investors and the integrity of the Financial Industry Regulatory Authority's (FINRA) BrokerCheck program, U.S. Senators…
reed.senate.gov (Washington, DC December 16, 2013) -- In an effort to protect investors and the integrity of the Financial Industry Regulatory Authority’s (FINRA) BrokerCheck program, U.S. Senators…
cheapstocksfor2015.com (InvestmentNews) (December 13, 2013) -- Finra is considering raising the fees related to pursuing an arbitration claim against a brokerage firm in order to increase the pay for…
Reuters (December 5, 2013 10:45 am) -- A long-running battle over whether the top U.S. securities regulator should release records about its supervision of Wall Street's arbitration process is about…