In the Media

Financial Advisor (July 17, 2020) - Loopholes in the U.S. Department of Labor’s package of fiduciary rules and proposal would expose vulnerable retirement savers to harmful advice, critics of the…
Financial Advisory (July 9, 2020) - The National Association of Personal Financial Advisors (NAPFA) and a consortium of 20 other pro-consumer groups delivered a letter to the U.S. Department of Labor…
JD Supra ( June 17, 2020) - A couple of years ago, I complained about PIABA’s effort to make expungement even more difficult to obtain. Well, fast forward to June 1, and, as Chris Seps explains here…
ThinkAdvisor (May 26, 2020) - The amended rules prevent brokers with unpaid arbitration awards from switching firms, but there's a bigger issue, lawyers say.  The Financial Industry Regulatory…