In the Media

InvestmentNews (September 20, 2019) - Legislation unlikely to get through Senate but sends a message for potential future action.  Advocates for prohibiting mandatory arbitration for investment…
Financial Planning (September 5, 2019) - An advisor accused by the SEC of defrauding investors and eventually barred from the industry was allowed by the agency to choose the buyer of his firm,…
Financial Advisor IQ ( August 1, 2019) - As the old saying goes, one bad apple spoils the bunch. And although the vast majority of brokers are upstanding individuals with clean records and their…
InvestmentNews (July 8, 2019) - PIABA: It falls short of solving unpaid arbitration. FSI: It gives Finra too much power.  Investor advocates say a Finra proposal to crack down on rogue brokerages…