“It is really on the broker to do the right thing, because the typical investor doesn’t know enough to know if the broker and his firm have the investor’s interest at heart”. Read full article in The New…
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“They need to get this [expungement] process out of arbitration and into the hands of regulators”! More in the InvestmentNews article…
County will no longer force workers to submit to urinalysis, reveal private medical history Honolulu – The American Civil Liberties Union of Hawai‘i Foundation and the law firm of Peiffer Wolf Carr & Kane Abdullah Kane & Carr…
‘‘I get the sense that mandatory arbitration will be allowed in the final rule”, Joseph Peiffer, president of the Public Investors Arbitration Bar Association (PIABA) in Norman, Okla., who testified during the hearing, told Bloomberg BNA on Sept. 2. More on the…
Frederick E. Monroe Jr Allegedly Orchestrated a $1.26 Million Ponzi Scheme, Soliciting Clients for Personal Checks that he Claimed Would Be Invested in Bonds for Their Retirement Frederick E. Monroe Jr, the senior vice president of a financial…
Joseph Peiffer’s testimony in support of extending the fiduciary duty standard to stockbrokers who recommend securities to their customers
Joseph Peiffer’s testimony details retiree horror stories during hearings on DOL fiduciary rule At the heart of the Department of Labor’s effort to finalize a new rule requiring advisors to act as fiduciaries to most 401(k) plans…
I’ve been warning for years of the dangers of the federal Racketeering Influenced and Corrupt Organizations law and how it gives prosecutors and enterprising private lawyers leverage to target above-board businesses in search of punishment or profit. Since…
We are delighted to report a big win in the U.S. Court of Appeals for the Ninth Circuit for our clients Piping Rock Partners and Chris Germain. After our clients filed a defamation suit in the federal district…
As President of PIABA, the Public Investors Arbitration Bar Association, Joe Peiffer has led the fight for federal regulations that would require stockbrokers to place their retirement clients ahead of their own self-interests. That dream may become a…