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In the Media
BenefitsPro (October 17, 2013) -- A study of more than 1,600 arbitration cases over the past five years shows an “alarmingly high” rate of brokers who were able to get their arbitration histories…
Wall Street Journal (October 16, 2013 6:01 pm) - Stockbrokers are being routinely allowed to scrub some customer complaints from their public records, leaving investors in the dark about potentially…
MoneyWatch (CBS) (October 16, 2013 5:18 pm) -- Investors hoping to check out the disciplinary history of their stock broker may be getting woefully incomplete information, according to a study…
cnbc.com (The New York Times) (October 16, 2013 5:11 pm) -- A report released on Wednesday by an association of lawyers who represent aggrieved investors suggests that Wall Street brokers were…
Florida Society of News Editors (Reuters) (October 16, 2013 4:15 pm) -- Brokers who seek to erase black marks from their public records succeed at an “alarmingly high” rate following settlements with…
Bloomberg (October 16, 2013 3:24 pm) - Stockbrokers routinely succeeded in erasing settlements of customer complaints from their regulatory records in the wake of 2008’s market turmoil, making it…
BloombergBusiness (October 16, 2013 3:24 pm) -- Stockbrokers routinely succeeded in erasing settlements of customer complaints from their regulatory records in the wake of 2008’s market turmoil,…
kelofm.com (October 16, 2013 2:13 pm) -- Brokers who seek to erase black marks from their public records succeed at an “alarmingly high” rate following settlements with investors who alleged they…
FINRA.org (October 16, 2013) -- PIABA's study underlines and emphasizes serious concerns FINRA shares with respect to the expungement process. As a result of these concerns, FINRA recently provided…
Reuters (October 16, 2013) - Brokers who seek to erase black marks from their public records succeed at an "alarmingly high" rate following settlements with investors who alleged they lost money,…