In the Media

InvestmentNews (September 27, 2023) - The rule allowing such inspections is due to expire at the end of this year, but Finra has asked to delay the expiration until June 30. The Financial Industry…
Off Plan Property Exchange (September 19, 2023) - The Financial Industry Regulatory Authority (FINRA) has taken enforcement actions against a former broker for violating Regulation Best Interest (Reg…
Advisorhub (September 19, 2023) - The Financial Industry Regulatory Authority continues to bring enforcement actions over violations of the three-year-old Regulation Best Interest rule and this week…
Investment News (September 14, 2023) - Over nearly three years 'our branch examiners have refined their skills and become very adept at identifying risk remotely,' insists LPL Financial. State…
InvestmentNews (August 24, 2023) - A brokerage and a rep, both targets of Finra disciplinary actions, have filed suits questioning the regulator’s constitutionality. A Washington, D.C., federal…
Massachusetts Lawyers Weekly (August 28, 2023) - Where a plaintiff filed a complaint challenging the validity of a state regulation that brings the fiduciary obligations of broker-dealers in line…
ABS Market Research (August 16, 2023) - The process for removing customer complaints from broker records is as simple as erasing pencil traces off paper. It’s also invisible to the public. The…
AdvisorHub (August 14, 2023) - Come October, brokers may have a tougher time erasing customer disputes from their public record.  The Financial Industry Regulatory Authority has adopted a raft of…
InvestmentNews (August 14, 2023) - Securities attorney hails 'good day for Finra and an even better day for investors.' Attorneys who represent investors in actions against brokerages and registered…
WealthManagement (August 14, 2023) - The adopted amendments released last week will cut down on alleged abuses in the expungement process, according to a former president of the Public Investors…