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…
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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…
* Appeals court reinstates $9.2 million ruling* Says district court erred in throwing out awardReuters (October 23, 2012 5:49 pm) - A federal appeals court on Tuesday reinstated a $9.2 million…
Judge Rakoff presses for accountabilityInvestmentNews (October 7, 2012 11:01 am) --U.S. District Judge Jed S. Rakoff shook the securities establishment to its core in 2009 when he refused to sign off…
InvestmentNews (September 2, 2012 11:01 pm) -- A California appeals court ruling that makes it easier for brokers to expunge customer complaints and disciplinary actions from their records could have…