In the Media

Financial Advisor IQ (March 2, 2020) - LPL Financial and Ameriprise have been accused of unfairly deducting expenses from the commissions of a Beverly Hills-based advisor, who says his worker status…
Financial Advisor IQ (February 13, 2020) - Investors have pressed courts recently to approve class actions against Raymond James and Edward Jones based on reverse churning allegations. But no court…
Financial Advisor IQ (February 11, 2020) - Finra says it has filed a proposed rule change with the SEC aimed at tackling the issue of unpaid arbitration awards. The proposal would amend rules on…
InvestmentNews (February 11, 2020) - Proposal aims to raise bar for brokers to clear their records, but a lawyer for investors says it only will fill Finra's coffers Finra is proposing to assess…