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The Wall Street Journal, March 22, 2017 - "What You Won't Learn From One Wall Street Watchdog Report"

Heather Gillers' "What You Won't Learn From One Wall Street Watchdog Report" Wall Street Journal story reports on a problem SLCG identified, illustrated by recent arbitration filings in Puerto Rico. Her article cites SLCG's analysis BrokerCheck records showing settlements and pending cases on individual broker's BrokerCheck reports not listed on the brokerage firm' BrokerCheck reports even though it is typically the firm not the individual broker who is sued. Craig McCann, Mike Yan and Chuan Qin are the principal authors of the study "Puerto Rico Securities Arbitration Report" available here. Their findings are related to broader reported in the "How Widespread and Predictable is Stock Broker Misconduct?" available here.

 
Craig J. McCann
Principal703.246.9381
Chuan Qin
Senior Financial Economist703-539-6778
Mike Yan
Principal703.539.6780