Since Ling Chan was fired from her job at the Financial Industry Regulatory Authority over her alleged "repeated unwanted" romantic advances towards a...
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I am no fan of the mandatory arbitration process imposed on investors by FINRA because investors usually lose or get a fraction of their losses.
I am often accused by brokers of being too hard on them. They say I cherry pick bad portfolios and there are many "hard working, honest brokers" who do the right thing for their clients. I used to believe it. I no longer do.
Joanne Bohnke is a 74 year old widow, hoping to make her $315,000 savings last longer than she does. She turned for advice, as most Americans unfortunately do, to her broker at Smith Barney.
An analysis conducted out of Sutherland Asbill & Brennan's Washington office shows the Financial Industry Regulatory Authority - the independent secur...
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