In the Media

A 19-year veteran of the organization will replace Linda Fienberg on Dec. 1InvestmentNews (October 30, 2014 4:37 pm) -- The Financial Industry Regulatory Authority Inc. has selected Richard W. Berry…
TheStreet (October 27, 2014 9:00 am) -- The bar association for lawyers who represent investors in Finra arbitration met in La Quinta, Calif., last week to discuss regulatory trends, litigation…
TheStreet (October 27, 2014 5:00 am) -- You may think you have an open-and-shut case against a stockbroker who's a 10 on the sleaze scale. But the arbitrators who hear cases against Wall Street's…
Reuters (October 23, 2014 4:32 pm) -- Wall Street's industry-funded watchdog and U.S. state securities regulators are considering whether to develop a new type of regulatory process for brokers to…