Financial Advisor IQ (February 11, 2020) - Finra says it has filed a proposed rule change with the SEC aimed at tackling the issue of unpaid arbitration awards.
The proposal would amend rules on…
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In the Media
InvestmentNews (February 11, 2020) - Proposal aims to raise bar for brokers to clear their records, but a lawyer for investors says it only will fill Finra's coffers
Finra is proposing to assess…
InvestmentNews (February 7, 2020) - Rule would restrict movement of brokers or firms’ assets if arbitration claims are pending
A Finra proposal that would restrict registered representatives from…
InvestmentNews (January 28, 2019) - Three salesmen barred for selling the Woodbridge Ponzi scheme still have state licenses to sell insurance
The Securities and Exchange Commission earlier this week…
InvestmentNews (January 23, 2020) - A Finra arbitrator ruled that a customer dispute from 2004 should be removed from his record
Ron Carson succeeded in removing a customer dispute from his record,…
Compliance Week (January 10, 2020) - Joining forces with a handful of state attorneys general who are seeking to have the Securities and Exchange Commission’s Regulation Best Interest set aside,…
The Boston Globe (January 7, 2020) - Secretary of State Bill Galvin’s war with Wall Street moved to a new battleground on Tuesday: a packed State House hearing room.
One by one, representatives of…
Financial Advisor (January 6, 2020) - Investors may soon be able to bypass arbitration and proceed to court if their broker or brokerage firm leaves the business while an arbitration claim is pending…
CNBC (December 20, 2019) -
Key Points
The SEC has proposed rules to expand the pool of investors who can buy so-called private funds, which are only available to fairly wealthy consumers.
Private…
Advisor's Edge (December 11, 2019) - Requiring brokerage firms to disclose whether they have E&O insurance could enhance investor protection
With hundreds of millions of dollars in investor…