In the Media

Reuters (November 14, 2014 11:51 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 group of investors…
(Adds detail in 5th paragraph on judge's concurring opinion; comment from PIABA's lawyer in 7th paragraph)Reuters (November 14, 2014 11:50 am) -- The U.S. Securities and Exchange Commission does not…
dailyreportingsuite.com (Securities Regulation Daily) (November 14, 2014)  -- The D.C. Circuit has held that the SEC can invoke the Freedom of Information Act to withhold documents collected from…
Reuters (November 6, 2014 3:26 pm) - (Adds comment by FINRA, paragraph 8) When a couple that ran a Marietta, Georgia-based securities brokerage went bankrupt late last month, it caused a ripple…