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USAToday (February 23, 2013 11:53 am) -- Money Watch, a personal finance column that runs every Saturday, features a financial planner from the National Association of Personal Financial Advisors…
More brokerage firms are expected to demand that customers give up their right to file class actions against themInvestmentNews (February 24, 2013 11:01 pm) -- More brokerage firms are expected to…
Reuters (January 28, 2013) -- A proposal to limit when people with certain ties to the securities industry are called to decide cases of aggrieved investors is a step in the right direction, but does…
Trends show they still play a role, despite use of public panelistsInvestmentNews (Janusary 20, 2013 11:01 pm) -- ome observers have speculated that industry arbitrators may become a thing of the…
ARS settlements and tougher compliance result in a dearth of casesInvestmentNews (Janusary 20, 2013 11:01 pm) -- oPlaintiff's lawyers are the latest victims of the bear market, complaining that while…
RIABiz.com (December 6, 2012) -- Brooke’s Note: For us laymen, the whole FINRA-as-SRO issue is confoundingly confusing at times and certainly requires more space on the old mental hard drive than we’…
Reuters (November 2, 2012 12:43 pm) -- Wall Street's industry-funded watchdog does not have an official say over registered investment advisers, but it is not shy about stepping up with a solution to…
The Wall Street Journal (Updated October 26, 2012 1:56 pm) - A U.S. district court has upheld an arbitration panel's half-a-million dollar award against Merrill Lynch, capping a controversy in which…
Move by regulator not related to SRO push; 'requests from attorneys'InvestmentNews (October 25, 2012 11:24 pm) -- The Financial Industry Regulatory Authority Inc. has opened up its arbitration system…
Risks include lack of information, new reporting standards, Abshure saysInvestmentNews (October 25, 2012 10:44 am) -- New laws that ease restrictions on raising money for small, private companies…