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Finra should seek to make the arbitration pool more diverse because diversity offers significant benefitsInvestmentNews (Nov 16, 2014 11:01 pm) -- Finra's arbitration process has come under attack…
VepsMagazine (Reuters) (November 13, 2013) -- There are no second acts in American life unless you are a stock broker. Then, there can be third and fourth acts, too.Some brokers who get fired…
Reuters (November 7, 2013 2:35 pm) -- There are no second acts in American life unless you are a stock broker. Then, there can be third and fourth acts, too.Some brokers who get fired have no trouble…
Yahoo!Finance (Reuters) (November 7, 2013 2:35 pm) -- There are no second acts in American life unless you are a stock broker. Then, there can be third and fourth acts, too.Some brokers who get…
Business News Central (Reuters) (November 7, 2013 2:35 pm) -- There are no second acts in American life unless you are a stock broker. Then, there can be third and fourth acts, too.Some brokers…
Bond Case Briefs (October 28, 2013) -- In letters to Ketchum and SEC Markey calls for tougher expungement rules and more effort to throw out roguesSen. Edward J. Markey, D-Mass., is pushing the SEC…
InvestmentNews (October 24, 2008 1:25 pm) -- The plaintiff's bar will continue pushing for the elimination of industry arbitrators, said Brian Smiley, the new president of the Public Investors…
wordpress.com (Reuters) (October 2013) – Wall Street’s industry-funded watchdog issued new guidance late Monday that gives arbitrators more information about their responsibilities in a process that…
Financial Advisor (October 24, 2013) -- So, are hordes of rogue brokers erasing their troubled disciplinary records thanks to Finra arbitrators who are rubber-stamping expungement requests? …
FINRA to Tighten Training and Standards for Expungement Arbitrators, by Mason Braswellonwallstreet.com (October 22, 2013 11:29 pm) -- After coming under pressure from the public and investor…