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In the Media

Fuss Over Broker Expungement Continues, by Kristen Frenchwealthmangement.com (January 29, 2008) -- Apparently, some people still think it’s far too easy for brokers to wipe their records clean,…
Brokers are unnamed in lawsuits all the time, observers sayInvestment News (January 14, 2008 - 11:01 pm) -- The Financial Industry Regulatory Association encourages investors to check on the…
They're often tougher on bad actors than public panelists are, they sayInvestment News (October 22, 2007 11:01 pm) --  Industry arbitrators say the claims raised by some that they're biased against…
Bloomberg (September 27, 2007 4:52 pm) -- Morgan Stanley, the second-largest securities firm, will pay $12.5 million to settle regulatory claims it wrongly withheld e-mails in arbitration cases by…