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In the Media
Bloomberg (July 30, 2008 3:24 pm) - Let's say you had $50,000 in auction-rate securities that your broker said were as safe as money-market funds. The market collapsed and you sold at an 80 percent…
Bloomberg (July 25, 2008 7:17 am) -- The Financial Industry Regulatory Authority will test a change in how it resolves investor-broker disputes, removing industry representatives from three-person…
Bloomberg (July 24, 2008 11:07 am) - The Financial Industry Regulatory Authority will test a change in how it resolves investor-broker disputes, removing industry representatives from three-person…
Highbeam Business (June 16, 2008) -- The Public Investors Arbitration Bar Association has questioned parts of the Financial Industry Regulatory Authority's proposal to change forms U4 and U5, the…
Wall Street Letter (WSL) (June 16, 2008) -- The Public Investors Arbitration Bar Association has questioned parts of the Financial Industry Regulatory Authority's proposal to change forms U4 and U5,…
Wall Street Journal (June 5, 2008 11:01 pm) -- Despite the anger harbored by Main Street investors toward brokers who sold them auction-rate securities, some of the people trying to protect…
But its threshold for reporting settlements would rise to $15,000Investment News (May 5, 2008 11:01 pm) -- The Financial Industry Regulatory Authority Inc. aims to close a major loophole in its…
telegram.com (March 28, 2008 5 am) -- Have you been messing with your cash? Howls are arising from investors who parked liquid funds, or funds they expected to be liquid, in auction-rate…
Plaintiff's lawyers 'licking chops' over potential paydayInvestmentNews (March 17, 2008 11:01 pm) -- The plaintiff's bar is hot on the trail of disgruntled investors who can't cash out of auction…
Fund industry is concerned about idea of quarterly updatesInvestmentNews (March 10, 2008 11:01 pm) -- While mutual fund companies and brokers are enthusiastic about a proposal to simplify fund…