In the Media

Financial Advisor IQ (July 13, 2023) - The industry’s self-regulator wants to allow more flexibility as far as what’s counted as experience by brokers wanting to use their home offices as residential…
Insurance Newsnet (July 11, 2023) - A California retiree suspects his investment advisor has cost him a quarter million dollars from improper trading or spending and decides to take legal action. But…
TerrySavage.com (July 8, 2023) - More and more investors are learning the hard way that if you have a complaint against a broker or registered investment advisor, it’s going to be tough to get…
Financial Planning (July 6, 2023) - In the latest sign of regulators' ongoing struggle to accommodate financial planners' newfound love for remote work, FINRA is again tweaking its residential office…
Tribune Content Agency (June 30, 2023) - More and more investors are learning the hard way that if you have a complaint against a broker or registered investment adviser, it’s going to be tough to…
ABS Market Research (June 29, 2023) - A recent report from the U.S. Securities and Exchange Commission (SEC) has raised concerns about the practice of including mandatory arbitration clauses in…
InvestmentNews (June 29, 2023) - The report says more than half of investment advisors force their clients to go to arbitration to settle disputes, but it doesn't put a number on RIA arbitration…
CityWire (June 29, 2023) - While Finra-registered brokers are required by Finra to report any pending complaints, results of arbitration hearings and the existence of settlements, RIAs don't have to…
WealthManagement (June 29, 2023) - Commissioned by the U.S. House Committee on Appropriations, the study confirms views that mandatory arbitration agreements imposed by fiduciary-bound RIAs can…
ThinkAdvisor (June 29, 2023) - The Securities and Exchange Commission has no way to track the number of registered investment advisor arbitrations or unpaid arbitration awards, according to a just-…