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In the Media
Financial Advisor (February 2, 2022) - In a case that has widespread ramifications for both the Financial Industry Regulatory Authority’s arbitration forum and Wells Fargo, the Fulton County Superior…
InvestmentNews (February 2, 2022) - At the center of the judge's order to vacate the arbitration decision were questions about whether or not Finra arbitration was a neutral forum for investors.
A…
Financial Planning (February 2, 2022) - Former Wells Fargo clients who accused the bank and its Wall Street regulator of making a secret deal involving the selection of FINRA arbitrators won a…
AdvisorHub (February 2, 2022) - (Updated with statement from Finra spokeswoman.)
In a rare decision overturning an arbitration award, a Georgia state court judge vacated a 2019 decision in which…
ThinkAdvisor (February 2, 2022) - FINRA allowed one lawyer to “secretly red line” the list of arbitrators under consideration, according to a ruling.
A judge in Georgia has ruled that Wells Fargo…
Financial Advisor (February 1, 2022) - The Financial Services Institute (FSI), the trade group representing independent financial services firms and advisors, said it opposes proposals to create an…
Financial Advisor (January 21, 2022) - The Public Investors Advocate Bar Association (PIABA) says it has begun lobbying the SEC to either do away with the forced arbitration clauses RIAs foist upon…
Financial Planning (January 10, 2022) - With faster and more user-friendly investment technology comes greater risks to clients vulnerable to fraud, according to state regulators.
Cryptocurrency and…
AdvisorHub (December 10) - J.P. Morgan Advisors was ordered to pay $4 million in damages to a former client of a top-producer in San Francisco who has been beset by customer claims over last year’s…
Senior Financial Abuse Fight Needs More Cooperation By Government Agencies, SEC Told, By Ted Knutson
Forbes (December 2, 2021) - The Securities and Exchange Commission was told by experts Thursday greater cooperation between government agencies at the federal, state, and local levels and the private…