In the Media

InvestmentNews (February 11, 2020) - Proposal aims to raise bar for brokers to clear their records, but a lawyer for investors says it only will fill Finra's coffers Finra is proposing to assess…
InvestmentNews (February 7, 2020) - Rule would restrict movement of brokers or firms’ assets if arbitration claims are pending A Finra proposal that would restrict registered representatives from…
InvestmentNews (January 28, 2019) - Three salesmen barred for selling the Woodbridge Ponzi scheme still have state licenses to sell insurance The Securities and Exchange Commission earlier this week…
InvestmentNews (January 23, 2020) - A Finra arbitrator ruled that a customer dispute from 2004 should be removed from his record Ron Carson succeeded in removing a customer dispute from his record,…