In the Media

Financial Planning (November 18, 2022) - Brokers have until Dec. 7 to comment on an amended rule that would make it harder for them to have customer complaints expunged from the online database…
AdvisorHub (November 11, 2022) - The Financial Industry Regulatory Authority has once again revised and delayed a proposed rule change aimed at tightening the process for brokers to expunge customer…
Wealth Management (November 8, 2022) - In a discussion with WealthManagement.com, Hugh Berkson said the organization will continue to raise awareness of the issue of unpaid arbitration awards and the…
Investment News (November 2, 2022) - State regulators and PIABA have questioned whether a residential supervisory location would provide appropriate investor protection. Finra is trying to update…