In the Media

AdvisorHub (June 1, 2021) - A Financial Industry Regulatory Authority arbitrator granted a 20-year UBS Wealth Management USA broker in South Carolina expungement of a 2019 complaint related to the…
Financial Advisor (June 1, 2021) - In the face of mounting criticism from investor attorneys, the Financial Industry Regulatory Authority announced Friday it was temporarily withdrawing its plan to…
Think Advisor (May 28, 2021) - The Financial Industry Regulatory Authority said Friday that it is has withdrawn from the Securities and Exchange Commission its rule filing establishing a special…
AdvisorHub (May 28, 2021) - The Financial Industry Regulatory Authority said it withdrew “temporarily” a proposal to reform the procedures to expunge brokers’ public records, which it had before the…