In the Media

Compliance Week (January 10, 2020) - Joining forces with a handful of state attorneys general who are seeking to have the Securities and Exchange Commission’s Regulation Best Interest set aside,…
The Boston Globe (January 7, 2020) - Secretary of State Bill Galvin’s war with Wall Street moved to a new battleground on Tuesday: a packed State House hearing room. One by one, representatives of…
Financial Advisor (January 6, 2020) - Investors may soon be able to bypass arbitration and proceed to court if their broker or brokerage firm leaves the business while an arbitration claim is pending…
CNBC (December 20, 2019) -  Key Points The SEC has proposed rules to expand the pool of investors who can buy so-called private funds, which are only available to fairly wealthy consumers. Private…