Financial Planning

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FINRA to 'terribly harmed' investors: No recovery pool

The regulator skips creating a fund for investors with unpaid arbitration claims, despite raising hopes that it might.

Financial regulations Ann Marsh May 12

Financial regulations Ann Marsh May 12
FINRA offers some arbitration fixes; bigger issues still unresolved

FINRA plans to add 1,000 new arbitrators this year to improve its troubled dispute resolution process, but offers few new details on some of its largest challenges.

Arbitration Ann Marsh October 28, 2016

Arbitration Ann Marsh October 28, 2016
FINRA considers creation of fund for unpaid arbitration awards

Firms and brokers would contribute to a pool to compensate investors who were defrauded but are unable to collect, according to one recommendation.

Financial regulations Ann Marsh July 19, 2016

Financial regulations Ann Marsh July 19, 2016