In the Media

WealthManagement (August 22, 2022) - Did a now-defunct IBD avoid FINRA financial judgements by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case…
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…
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,…