InvestmentNews (November 4, 2017) - The new SEC chairman is confident he can come up with a rule better than that of the Department of Labor — one that satisfies brokers, investment advisers and…
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InvestmentNews (October 31, 2017) - A Treasury proposal seeks to amend rules for plan sponsors to help them assess the long-term viability of insurance companies
The Trump administration wants to…
Barron's (October 26, 2017) - Consumers won’t be able to sue banks and credit-card companies, thanks to Congress. And some predict they’ll soon be blocked from suing brokerages as well, reports…
InvestmentNews (October 25, 2017) - Investor advocates fear brokerage firms may seek to overturn Finra's rule banning class-action waivers in customer agreements
After the Senate's rejection Tuesday…
Financial Advisor (October 24, 2017) - Attorney Andrew Stoltmann is roaring into the top spot at the Public Investors Arbitration Bar Association with an aggressive agenda that includes reforming…
InvestmentNews (October 23, 2017) - On plaintiff group's agenda: Establishing unpaid arbitration award pool and ensuring SEC doesn't 'water down' DOL fiduciary rule
Chicago attorney Andrew Stoltmann…
InvestmentNews (October 23, 2017) - Suggestions for uses range from establishing funds for harmed investors, those whose arbitration awards go unpaid or giving it to the Treasury Department
The $176.…
ThinkAdvisor (October 23, 2017) - Setting up unpaid arbitration pool, stopping 'watered down' SEC fiduciary rule among his priorities
The Public Investors Arbitration Bar Association announced Monday…
InvestmentNews (October 19, 2017) - Move is designed to address unpaid arbitration claims, but critic says it doesn't go far enough
Finra is seeking to allow investors in arbitration to take their…
Barron's (October 19, 2017) - Finra wants to allow investors in arbitration to take their claims to court if their brokerages or brokers go bankrupt while arbitration is underway, InvestmentNews…