In the Media

Financial Advisor IQ (August 4, 2022) - A Georgia appeals court reversed a lower court’s decision that vacated a previous award on the grounds that there was a secret agreement between a lawyer…
InvestmentNews (August 4, 2022) - A major modification to the proposal would allow state regulators to participate in arbitration hearings that determine whether to clear a broker's record of a…
Financial Planning (August 2, 2022) - A Georgia appeals court overturned a ruling that found Wells Fargo and its Wall Street regulator made a secret deal to choose bank-friendly arbitrators for a…
Financial Advisor (July 18, 2022) - Broker-dealers designated as “restricted firms” by Finra because of the spotty records of their brokers may soon find that label slapped on their public…