InvestmentNews (December 13, 2018) - Who should be on the hook when brokers fail to pay arbitration awards? Interested parties speaking before the SEC Investor Advisory Committee on Thursday…
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In the Media
Financial Planning (October 24, 2018) - Just how fair is FINRA arbitration?
It may depend on how good you are at picking arbitrators.
Firms are “able to better select arbitrators that are…
Financial Advisor IQ (October 8, 2018) --Self-regulator Finra’s proposal to eliminate member firms' supervisory requirements of their representatives’ outside business activities will lead to a “…
ThinkAdvisor (October 5, 2018) --Proposal to free BDs from liability for advisors’ outside activities is one of FINRA's worst ever, lawyer Stoltmann says.
The Financial Industry Regulatory Authority…
Wealth Management (October 4, 2018) --The arbitration attorney group argues that FINRA’s new proposals regulating outside business activities will leave investors more at risk of scams.
Under…
InvestmentNews (October 4, 2018) --Arbitration lawyers assert changes would create regulatory 'black hole.'
A Finra proposal to ease requirements for brokerages’ oversight of their registered…
Financial Advisor (October 4, 2018) -- The Public Investors Arbitration Bar Association (PIABA) today soundly criticized a pending proposal by the Financial Industry Regulatory Authority that the…
CNBC (September 22, 2018) -- Mom-and-pop investors hoping to jump on the next hot tech start-up before it goes public may soon get their wish — and it could cost them.
In August, Jay Clayton,…
Financial Advisor IQ (September 10, 2018) -- In the wake of a big market correction, prepare for a deluge of clients to file claims with allegations slamming advisors for reverse churning. That’s the…
InvestmentNews (August 14, 2018) -- Dairy farmer clients' $1.5 million portfolio incurred $1.3 million in trading costs, but will they be able to collect?
The Financial Industry Regulatory…