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A Work in Progress: Evolving Responsibilities in the Retail Broker-Dealer/Customer Relationship

The enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act1 (Dodd-Frank Act or Act) has accelerated the process of erasing the distinction between a registered investment adviser and a "mere" broker...more

State & Local Foreclosure Mediation Programs Can They Save Homes

Written By Geoffry Walsh Staff Attorney National Consumer Law Center, Geoff Walsh has been a legal services attorney for over twenty-five years and is presently a staff attorney with National Consumer Law Center The...more

SEC Rules For Losses Caused by Stock Brokers

On behalf of the Public Investors Arbitration Bar Association (PIABA), I am pleased to comment on the above-referenced proposed changes to the Suitability Rule and the Know Your Customer Rule, FINRA Rules 2111 and 2090. PIABA...more