The Rose Art Museum at Brandeis University in Waltham, Mass., has built an impressive collection of contemporary artists since it opened in 1961. But now, on the floor-to-ceiling glass wall at its entry is tacked...
A new rule that took effect in January stipulates that there are three reasons—and three reasons only—to grant expungement of client complaints from your U4
Mary L. Schapiro heads to Capitol Hill tomorrow morning for the hearing on her Senate confirmation as President-elect Barack Obama's nominee to chair the U.S. Securities and Exchange Commission.
The proposed FINRA rule would change current practice-which renders arbitrations a virtual black box in which the arbitrators need not explain how they decide a case.
Since Manhattan District Attorney Robert M. Morgenthau unsealed indictments on the "swindling" of the late Brooke Astor, grand dame of New York society and Gotham's first lady of philanthropy, the press accounts have...
When a client opens a brokerage account, he agrees that he won't sue you, the registered rep, in a court of law. In opening the account, the client agrees to take his complaint through an arbitration system controlled...
Wall Street Breathed a Sigh of Relief when Eliot Spitzer moved into the governor's mansion in Albany. Word was that Andrew Cuomo, New York's newly elected attorney general, had other fish to fry. And, sure enough, he...
The Securities Industry and Financial Markets Association released a “white paper” today about how well the mandatory arbitration system works. The system, you’ll recall, was established 20 years ago...
