After an Oregon investor settled her complaint against stockbroker Kathleen J. Tarr, Tarr's former employer tried to expunge the case from her record. A battle royal ensued.
The powerful Board of Governors at Finra divvies up board seats among 'public' and 'industry' members. So why is Finra letting people from the financial world take the public seats?
The complaint filed by former Fox personality Gretchen Carlson against Roger Ailes has put sexual harassment in the headlines. Anita Hill weighs in on how to fix this workplace problem.
In a matter of weeks, two senior executives at global businesses lost their jobs related to sex harassment claims or clueless talk about gender. A revolution, or a blip?
Many women at Fox News have come out in resounding support of their embattled CEO Roger Ailes, who was sued for sexual harassment. Do their opinions matter?
Finra's Investor Education Foundation released a study Tuesday that said financial literacy has declined since 2009. A big part of the problem is the wrong people are doing the teaching.
Dozens of former AT&T employees filed complaints after Kathleen J. Tarr put them in high-commission products like non-traded REITs. She and her former firm want to clean up her record.
It's bad enough that so many investors lose money at the hands of incompetent or corrupt advisers. But when stress-related health problems kick in, some are victimized a second time.
Hopes for reform were high when women at Smith Barney filed a discrimination lawsuit 20 years ago last month. Since then, the industry has worked hard to keep complaints quiet.
Finra's arbitrator pool has included everyone from a disgraced judge to a person who posed as a lawyer. The latest: a brokerage executive who was just fined and suspended.
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