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Massachusetts Lawyers Weekly (August 28, 2023) - Where a plaintiff filed a complaint challenging the validity of a state regulation that brings the fiduciary obligations of broker-dealers in line…
ABS Market Research (August 16, 2023) - The process for removing customer complaints from broker records is as simple as erasing pencil traces off paper. It’s also invisible to the public. The…
AdvisorHub (August 14, 2023) - Come October, brokers may have a tougher time erasing customer disputes from their public record.
The Financial Industry Regulatory Authority has adopted a raft of…
InvestmentNews (August 14, 2023) - Securities attorney hails 'good day for Finra and an even better day for investors.'
Attorneys who represent investors in actions against brokerages and registered…