In the Media

Financial Advisor (November 1, 2021) - Brokers and advisors who close up shop and declare bankruptcy to sidestep paying arbitration awards to the investors they defrauded are the scourge of every…
The American Prospect (October 6, 2021) - Persistent advocates and new strategies have led some companies to relent on blocking access to courts. But there’s a long way to go. It sounds like a scene…
AdvisorHub (October 6, 2021) - The North American Securities Administrators Association unveiled this week proposed model rules through which state regulators could revoke licenses of state-…
InvestmentNews (October 5, 2021) - The North American Securities Administrators Association, the group representing state and provincial securities regulators, will put out for public comment a set…