AdvisorHub (February 2, 2022) - (Updated with statement from Finra spokeswoman.)
In a rare decision overturning an arbitration award, a Georgia state court judge vacated a 2019 decision in which…
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In the Media
ThinkAdvisor (February 2, 2022) - FINRA allowed one lawyer to “secretly red line” the list of arbitrators under consideration, according to a ruling.
A judge in Georgia has ruled that Wells Fargo…
Financial Advisor (February 1, 2022) - The Financial Services Institute (FSI), the trade group representing independent financial services firms and advisors, said it opposes proposals to create an…
Financial Advisor (January 21, 2022) - The Public Investors Advocate Bar Association (PIABA) says it has begun lobbying the SEC to either do away with the forced arbitration clauses RIAs foist upon…
Financial Planning (January 10, 2022) - With faster and more user-friendly investment technology comes greater risks to clients vulnerable to fraud, according to state regulators.
Cryptocurrency and…
AdvisorHub (December 10) - J.P. Morgan Advisors was ordered to pay $4 million in damages to a former client of a top-producer in San Francisco who has been beset by customer claims over last year’s…
Senior Financial Abuse Fight Needs More Cooperation By Government Agencies, SEC Told, By Ted Knutson
Forbes (December 2, 2021) - The Securities and Exchange Commission was told by experts Thursday greater cooperation between government agencies at the federal, state, and local levels and the private…
Financial Planning (November 23, 2021) - RIA clients seeking compensation for losses as a result of advisors’ harmful conduct may have an even smaller chance of success than customers of dually…
Financial Advisor IQ (November 18, 2021) - The House of Representatives' Financial Services Committee has passed a bill first introduced eight years ago that would prohibit broker-dealers, investment…
Investment News (November 17, 2021) - Democrats back the legislation, but Republicans are united against it. While the measure was passed by a House committee, an advocate calls winning congressional…