In the Media

PIABA Loses FOIA Suit Against SEC Seeking FINRA Arbitration Program Recordssacarbitration.com (November 20, 2014) -- Right after we went to press last week came news that the D.C. Circuit had ruled…
Federal Court Kills PIABA FOIA SEC Demand For FINRA Records, by Bill SingerBrokerAndBroker.com (November 17, 2014) -- According to the homepage of The Financial Industry Regulatory Authority ("FINRA…
todayonline.com (Reuters) (November 14, 2014 12:17 am) - The U.S. Securities and Exchange Commission does not have to release records about its supervision of Wall Street's arbitration process to a…
DC Circ. Says SEC Can Withhold FINRA Arbitration Docs, by Stephanie Russell-KraftLaw360, New York (November 14, 2014, 1:40 PM) -- The U.S. Securities and Exchange Commission may withhold documents it…