In the Media

AdvisorHub (November 20, 2023) - By Miriam Rozen Brokers who prefer to stay in their pajamas while selling stocks have caught a break from the Securities and Exchange Commission.  The federal…
Financial Planning (November 15, 2023) - By Benjamin Edwards and Joe Peiffer FINRA's recent reforms to its expungement process, which allows the removal of old customer complaints from a broker's…
Investment News (November 7, 2023) By Mark Schoeff Jr. 'Finra provides essential services ... thousands of firms, hundreds of thousands of registered persons, and millions of American investors rely…
Financial Planning (November 7, 2023) By Dan Shaw   Investor advocacy groups are out with a slew of briefs arguing that a lawsuit questioning FINRA's mere right to exist could blow open a…
AdvisorHub (November 1, 2023) By Miriam Rozen Some financial advisors did not get a lot of love from the White House bully pulpit on Tuesday when President Joe Biden rolled out the Department of…
Law360 (November 1, 2023) By Dan Shaw An embattled brokerage firm has its knives out against FINRA in a court case that the industry self-regulator warns poses an "existential threat" to a…
Securities Arbitration Alert (November 1, 2023) By George H. Friedman On the heels of the October 16 effective date of a number of rule amendments affecting the expungement of customer dispute…
The Street (October 31, 2023)  The Department of Labor's Employee Benefits Security Administration is proposing a new rule that would protect workers' retirement savings by updating the regulation…
Financial Planning (October 31, 2023) By Tobias Salinger A new version of the Department of Labor fiduciary rule that the agency is calling the "retirement security rule" is setting up the industry'…
WealthManagement (October 31, 2023) By Patrick Donachie The Labor Department unveiled its latest version of a fiduciary rule on Tuesday, with supporters arguing the proposal largely fell in line…