Investor Defender attorney Darlene Pasieczny was recognized recently at the 2013 Annual Meeting of the Public Investors Arbitration Bar Association (PIABA), in Orlando, Florida. Pasieczny was commended for her work on PIABA’s SRO Committee, which monitors FINRA and SEC arbitration rule-making proposals that are of significant interest to the PIABA membership and investing public. With…
Continue reading ›Sen. Edward J. Markey, D-Mass, who was instrumental in FINRA’s development of its BrokerCheck database and a proponent of investor protection, issued a letter today to FINRA’s Chairman Richard Ketchum and forwarded to SEC Chair Mary Jo White. Senator Markey’s letter criticizes improper expungement of arbitration awards from BrokerCheck records, a practice that the Public…
Continue reading ›What Is FINRA Arbitration and Why Do I Have To Do It? When you open a brokerage account with a FINRA broker-dealer firm (which includes all stock brokerage firms), you sign a form contract called a New Account Form. It includes a paragraph, usually on the back, saying that you agree that if you ever…
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