Financial Advisor IQ (May 25, 2022) - The rule makes it unethical or dishonest to fail to pay arbitration awards or monetary penalties ordered by regulators.
The North American Securities…
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In the Media
AdvisorHub (May 24, 2022) - The Financial Industry Regulatory Authority’s board of governors approved on Friday revisions to a previous proposal to initiate “special” arbitration procedures for…
Wealth Management (May 23, 2022) - President Melanie Senter Lubin said the rule would offer state regulators additional means to take action against registrants that don't pay up.
The North American…
AdvisorHub (May 23, 2022) - The Financial Industry Regulatory Authority’s board of governors approved on Friday revisions to a previous proposal to initiate “special” arbitration procedures for…
Investment News (May 19, 2022) - Many funding advisory corporations put obligatory arbitration clauses of their purchasers’ contracts with out telling them and drive them into pricey arbitration…
Financial Advisor IQ (May 19, 2022) - Registered investment advisor firms often force customers into forced arbitration that is costly and non-transparent, according to the groups.
Several investor…
Financial Advisor (May 19, 2022) - A coalition of investor advocates are urging the SEC to investigate registered investment advisors' use of predispute arbitration clauses that allegedly force…
Investment News (May 18, 2022) - RIAs aren't adequately disclosing arbitration clauses in client contracts and are forcing clients into expensive dispute forums, the groups said.
Many funding…
Financial Advisor (May 18, 2022) -
The Financial Industry Regulatory Authority is considering overhauling its scandal-plagued process for reps trying to erase customer complaints from their records…
FinancialPlanning (May 16, 2022) - Add SEC Chair Gary Gensler to the growing chorus of regulators and critics calling for tougher rules over complex products, despite accompanying cries of protest…