In the Media

AdvisorHub (January 11, 2023) - The Financial Industry Regulatory Authority’s proposal to tweak its arbitrator-selection procedures, making them more transparent, represents welcome progress,…
Financial Advisor (January 5, 2023) -  To further weed out potential conflicts of interest and provide greater transparency into why certain arbitrators are removed from arbitrators selection lists…
AdvisorHub (December 19, 2022) - The Financial Industry Regulatory Authority, in an attempt to address criticisms from state regulators and investor advocates, among others, has amended its proposal…
Financial Planning (December 6, 2022) - Four of Advisor Group's brokerages settled FINRA charges that the firms negligently sold clients $16 million worth of alternative investments without informing…