In the Media

Wall Street and attorneys representing investors can't agree how to improve the arbitration system used to settle disputes between brokerages and their customers.Money (August 1, 2014) -- A proposal…
Reuters (July 31, 2014) -- A proposal to strengthen the arbitration process that aggrieved investors use against securities brokers is running into obstacles just as the U.S. Securities and…
ownzones.com (Reuters) (July 31, 2014) -- A proposal to strengthen the arbitration process that aggrieved investors use against securities brokers is running into obstacles just as the U.S.…
To Better Protect Investors, SEC Needs to Approve FINRA-Proposed Rule That Would Prohibit Arbitration Settlements From Being Conditioned on Investor Agreement to Clear “Black Marks” From a Broker’s…
financialadvisoriq.com (July 24, 2014) -- A newly approved rule aimed at making it harder for brokers to scrub their records of client complaints doesn’t go far enough, critics say. In fact,…
BenefitsPro (July 24, 2014) -- Unhappy investors now have a little more leeway when seeking arbitration over a dispute with their broker, now that the Securities and Exchange Commission has approved…
Regulator signs off on a rule that stops brokers from including expungement as a term in settlements in customer arbitrationsInvestmentNews (July 23, 2014 1:25 pm) -- The SEC has signed off on a rule…
newsroom.me (Reuters) (July 23, 2014 1:18 pm) -- The U.S. Securities and Exchange Commission has approved a new brokerage industry rule to ban dispute settlements between securities firms and…
Forbes (July 23, 2014 10:01 am) -- Is your investment representative’s bankruptcy your business? It should be. But Wall Street—as usual—is fighting full disclosure, and bankruptcy courts may be…
Financial Advisor (July 23, 2014) -- he Securities and Exchange Commission on Tuesday approved a Financial Industry Regulatory Authority proposal that would prohibit brokers from paying off customers…