InvestmentNews (August 22, 2022) - Bills in both the House and Senate would establish an SEC grant program to support investor advocacy clinics at law schools.
Senior investors who have low-dollar…
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In the Media
FinancialPlanning (August 10, 2022) - The latest FINRA proposal on removing client complaints from brokers' records is setting up a rulemaking debate that's likely to be long and contentious.
FINRA …
ThinkAdvisor (August 9, 2022) - What You Need to Know
A Georgia appeals court has reversed a January ruling that found Wells Fargo manipulated the FINRA arbitrator pool.
In its August decision, the…
Financial Advisor IQ (August 4, 2022) - A Georgia appeals court reversed a lower court’s decision that vacated a previous award on the grounds that there was a secret agreement between a lawyer…
InvestmentNews (August 4, 2022) - A major modification to the proposal would allow state regulators to participate in arbitration hearings that determine whether to clear a broker's record of a…
Financial Planning (August 2, 2022) - A Georgia appeals court overturned a ruling that found Wells Fargo and its Wall Street regulator made a secret deal to choose bank-friendly arbitrators for a…
Financial Advisor (July 18, 2022) - Broker-dealers designated as “restricted firms” by Finra because of the spotty records of their brokers may soon find that label slapped on their public…
Financial Advisor (June 29, 2022) - There are no secret deals or “improper agreements” to remove possibly prejudiced arbitrators from Financial Industry Regulatory Authority arbitration panels,…
FinancialPlanning (June 29, 2022) - There was no “secret agreement” between Wells Fargo’s attorney and FINRA that improperly removed a potential arbitrator from a client complaint case at his request…
Wealth Management (June 29, 2022) - FINRA released a report from independent counsel Lowenstein Sandler, concluding there was no agreement between Wells Fargo’s counsel and the regulator to exclude…