In the Media

InvestmentNews (January 28, 2019) - Three salesmen barred for selling the Woodbridge Ponzi scheme still have state licenses to sell insurance The Securities and Exchange Commission earlier this week…
InvestmentNews (January 23, 2020) - A Finra arbitrator ruled that a customer dispute from 2004 should be removed from his record Ron Carson succeeded in removing a customer dispute from his record,…
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…