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In the Media
JD Supra (March 10, 2022) - As we approach year three of the COVID-19 pandemic, FINRA Dispute Resolution’s arbitration hearings are being heard both in-person and via Zoom. I think FINRA has done a…
Financial Advisor (March 10, 2022) - Sen. Elizabeth Warren and Rep. Katie Porter have accused Finra of failing to answer "key questions" about a court ruling that determined the regulator worked with…
ThinkAdvisor (March 10, 2022) -
What You Need to Know
Warren and Rep. Katie Porter are pressing Cook to answer questions by March 22.
Independent review raises new concerns about the extent of…
Financial Advisor (March 9, 2022) - A new bill introduced by Sen. Sherrod Brown, chairman of the U.S. Senate Banking, Housing and Urban Affairs Committee, would prohibit broker-dealers and other…
Seeking Alpha (March 9, 2022) - FINRA stands for the Financial Industry Regulatory Authority, Inc. and it is an independent, self-regulatory organization that oversees member brokerage firms and…
Financial Planning (March 8, 2022) - Is FINRA showing its teeth? Look closely.
Last year, the Financial Industry Regulatory Authority, the self regulator of the brokerage industry, levied…
Financial Advisors IQ (March 4, 2022) - The Financial Industry Regulatory Authority’s arbitrator selection process is designed to allow for flexibility in who gets to hear the cases.
The Financial…
FinancialPlanning (March 3, 2022) - Wells Fargo’s battle against a blistering court ruling that it rigged the investor dispute process in a secret pact with Wall Street’s self-regulator has unleashed…
ThinkAdvisor (February 25, 2022) - What You Need to Know
Wells Fargo is appealing a Georgia judge’s ruling that Wells Fargo and its counsel manipulated FINRA's arbitrator selection process.
The…
AdvisorHub (February 23, 2022) - (Corrects to note the mark on the Kaplans’ records from Morgan Stanley, which was ultimately expunged, related to employment separation allegations, not a client…