In the Media

ThinkAdvisor (November 27, 2017) - FINRA says it will help SEC with database, while head of PIABA says database only a Band-Aid for a ‘really serious problem’ SEC Chairman Jay Clayton is moving full…
Pittsburgh Post-Gazette (November 20, 2017) - For a regulatory agency dedicated to protecting investors, the Financial Industry Regulatory Authority has some explaining to do. Thus sayeth a group of…
Financial Advisor IQ (November 17, 2017) - The Public Investors Arbitration Bar Association claims that almost half of the public governors on Finra’s board tasked with protecting investors’…
Investment Executive (November 16, 2017) - A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have…