Financial Advisor (March 9, 2022) - A new bill introduced by Sen. Sherrod Brown, chairman of the U.S. Senate Banking, Housing and Urban Affairs Committee, would prohibit broker-dealers and other…
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Seeking Alpha (March 9, 2022) - FINRA stands for the Financial Industry Regulatory Authority, Inc. and it is an independent, self-regulatory organization that oversees member brokerage firms and…
Financial Planning (March 8, 2022) - Is FINRA showing its teeth? Look closely.
Last year, the Financial Industry Regulatory Authority, the self regulator of the brokerage industry, levied…
Financial Advisors IQ (March 4, 2022) - The Financial Industry Regulatory Authority’s arbitrator selection process is designed to allow for flexibility in who gets to hear the cases.
The Financial…
FinancialPlanning (March 3, 2022) - Wells Fargo’s battle against a blistering court ruling that it rigged the investor dispute process in a secret pact with Wall Street’s self-regulator has unleashed…
ThinkAdvisor (February 25, 2022) - What You Need to Know
Wells Fargo is appealing a Georgia judge’s ruling that Wells Fargo and its counsel manipulated FINRA's arbitrator selection process.
The…
AdvisorHub (February 23, 2022) - (Corrects to note the mark on the Kaplans’ records from Morgan Stanley, which was ultimately expunged, related to employment separation allegations, not a client…
AdvisorHub (February 22, 2022) - The Financial Industry Regulatory Authority has hired an outside law firm to conduct a review of its arbitrator selection procedures in a controversial case,…
ThinkAdvisor (February 18, 2022) - What You Need to Know
Christopher Gerold, a Lowenstein partner and former chief of the New Jersey Bureau of Securities, will lead the investigation.
An Atlanta…
ThinkAdvisor (February 16, 2022) - Members of several Senate and House committees spent Valentine’s Day getting briefed on the need for the Labor Department’s anticipated new fiduciary rule.…