Pawleys Investment Advisors CEO Appointed as FINRA Arbitrator
July 25, 2012
PAWLEYS ISLAND, SC – July 23, 2012 – Pawleys Investment Advisors, LLC is pleased to announce that Founder and CEO Kathryn Schwartz has been appointed by the Financial Industry Regulatory Authority as an industry neutral Arbitrator. FINRA regulates securities firms conducting business in the United States, and oversees the resolution of disputes among investors, broker-dealers, and employees within the industry.
I am honored to have the opportunity to serve as an arbitrator, because it is such an important role in supporting the integrity of our industry, Schwartz said.
Arbitrators hear all sides of each dispute, study evidence, and render a final and binding decision, including any monetary award.
The Code of Ethics for Commercial Arbitrators holds us to high standards, so the role not only serves the investing public, but will also enhance my ability to provide best-in-class service to the clients of my own company, stated Schwartz.
FINRA is based in New York, NY, and is an independent authority serving to protect investors and maintain the integrity of the markets.
Pawleys Investment Advisors is a Registered Investment Advisory company dedicated to providing the highest level of portfolio management services to individuals, families, foundations and businesses – www.PawleysAdvisors.com
