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In the Media
Bloomberg BNA (October 18, 2013) --Expungement relief was granted in a very high percentage of arbitration cases filed by investors against broker-dealers, particularly those that were resolved by…
The Seattle Times (Originally published October 17, 2013 at 5:50 pm; Updated October 17, 2013 at 9:04 pm) -- Alleged wrongdoing by stockbrokers is routinely erased from public records, making it…
Troubling Findings Raise Question: Are Investors Being Kept in the Dark About Arbitration Cases?lifehealth.com (October 17, 2013) – Investors who rely on public records to check out the background…
Does Your Financial Advisor Really Have a Clean Record?themoneypivot.com (October 17, 2013) -- When hiring a financial advisor, investors are told to “do their research” by using public databases…
BenefitsPro (October 17, 2013) -- A study of more than 1,600 arbitration cases over the past five years shows an “alarmingly high” rate of brokers who were able to get their arbitration histories…
Wall Street Journal (October 16, 2013 6:01 pm) - Stockbrokers are being routinely allowed to scrub some customer complaints from their public records, leaving investors in the dark about potentially…
MoneyWatch (CBS) (October 16, 2013 5:18 pm) -- Investors hoping to check out the disciplinary history of their stock broker may be getting woefully incomplete information, according to a study…
cnbc.com (The New York Times) (October 16, 2013 5:11 pm) -- A report released on Wednesday by an association of lawyers who represent aggrieved investors suggests that Wall Street brokers were…
Florida Society of News Editors (Reuters) (October 16, 2013 4:15 pm) -- Brokers who seek to erase black marks from their public records succeed at an “alarmingly high” rate following settlements with…
Bloomberg (October 16, 2013 3:24 pm) - Stockbrokers routinely succeeded in erasing settlements of customer complaints from their regulatory records in the wake of 2008’s market turmoil, making it…