In the Media

InvestmentNews (October 4, 2022) - Comments from the Chamber of Commerce focused on making enforcement fairer, while organizations disagreed about who should be eligible to participate in private…
Financial Planning (September 29, 2022) - FINRA is saying there should be no limit on fines for violations like excessive trading and recommending tailored penalties for individual advisors and small…
ThinkAdvisor (September 16, 2022) - The Financial Industry Regulatory Authority is seeking approval from the Securities and Exchange Commission to provide greater transparency and consistency…
WealthManagement (August 22, 2022) - Did a now-defunct IBD avoid FINRA financial judgements by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case…