blog.aarp.org (October 7, 2014) -- Investors who bring disputes involving suspected broker misconduct, unsuitable investment advice and other complaints to arbitration may not be getting a fair…
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In the Media
As Win Rates for Investors Decline, New PIABA Report Shows 80 Percent of Arbitrators Are Male and the Average Age of Those Deciding Fate of Investors is 69; FINRA Claims Its Arbitrator Roster Is…
LexisNexis® Legal Newsroom Banking and Finance (Law360, New York) (October 6, 2014 1:18 pm) -- The Financial Industry Regulatory Authority last week revealed that its plan to bar people who have…
Law360, New York (October 6, 2014 1:18 pm) -- The Financial Industry Regulatory Authority last week revealed that its plan to bar people who have worked in the securities industry from serving as…
ThinkAdvisor (Reuters) (October 6, 2014) -- The race, gender and age of securities arbitrators bear little resemblance to the broad population of U.S. investors, a group of investor lawyers said on…
FinancialAdvisor (Reuters) (October 6, 2014) -- The race, gender and age of securities arbitrators bear little resemblance to the broad population of U.S. investors, a group of investor lawyers…
Reuters (October 3, 2014 11:52 am ) -- The race, gender and age of securities arbitrators bear little resemblance to the broad population of U.S. investors, a group of investor lawyers said on Friday…
RIACentral.com (September 25, 2014) -- Finra is pushing ahead with a rule-change that would require brokerage firms to vet new hires more thoroughly. The regulatory agency sent a rule to the SEC that…
The New York Times (September 24, 2014 7:40 pm) -- As a former stockbroker whose regulatory file included 41 customer complaints and a job termination, Kathleen J. Tarr was concerned that her…
Further Drop in Already Weak Investor Confidence in FINRA Arbitration Feared If Step Moves Ahead; "Non-Public Arbitrator" Category Should Encompass All With Direct and Indirect Ties to Securities…