In the Media

Finra approves rule to redefine public arbitrators, by Mason BraswellRegulator will send a proposal to the SEC that could limit those with industry ties from serving on panelsInvestmentNews (Feb 13,…
InvestmentNews.com (Febraury 13, 2014 11:28 am) -- Finra on Thursday advanced a revised proposal that would require brokerage firms to include a link on their websites and other online communications…
The Wall Street Journal (February 11, 2014 3:52 pm) -- Wall Street's self-regulator is planning new, tighter restrictions on the use of brokerage industry insiders as arbitrators in investors'…
Proposal would draw a bright line to exclude those with industry tiesInvestmentNews (February 11, 2014 1:57 pm) -- The Financial Industry Regulatory Authority Inc. is making a move to further limit…
AvidTrader (February 11, 2014 1:57 pm) -- The Financial Industry Regulatory Authority Inc. is making a move to further limit Wall Street veterans' ability to serve as public arbitrators, according…
thetrustadvisor.com (posted by Steven Maimes January 26, 2014) -- The brokerage industry's self-regulator plans to seek a ban on settlements of damage claims by clients against brokers that include a…
Business Insider (January 24, 2014 5:02 pm) -- After the S&P 500 returned 30% in 2013, many expect the stock market to see a correction this year. For those antsy investors looking for safe haven…
Wall Street Journal (January 24, 2014 4:33 pm) -- The brokerage industry's self-regulator plans to seek a ban on settlements of damage claims by clients against brokers that include a promise by the…
Practice may interfere with arbitrators' ability to determine appropriateness of expungement, Ketchum saysInvestmentNews (January 24, 2014 3:01 pm) -- Brokers would not be able to demand that their…
Chicago Tribune (Reuters) (January 14, 2014) - Wall Street's industry-funded watchdog will propose banning settlements in disputes between brokerages and investors that require investors to not…