In the Media

Financial Planning (June 29, 2023) - Brokers subject to a less stringent duty than fiduciary advisors have a more customer-friendly arbitration process than some registered investment advisory firms…
AdvisorHub (June 28th) -  A Securities and Exchange Commission report to Congress on Tuesday raised concerns about registered investment advisory firms’ use of mandatory arbitration clauses in retail…
Financial Advisor IQ (June 16, 2023) - There is “no substitute” for on-site examinations, according to Sander Ressler, a compliance consultant who works with broker-dealer and registered investment…
AdvisorHub (June 13, 2023 ) - A former top-ranked RBC Wealth Management-U.S. and Ameriprise Financial broker whose record includes a kidnapping charge and $2.5 million client claim has accepted an…
Think Advisor (June 5, 2023) - The full House passed late Monday two more accredited investor-related bills. The Accredited Investor Definition Review Act, H.R. 1579, sponsored by Rep. Bill Huizenga…
AdvisorHub (May 26, 2023) -  A group of plaintiff lawyers are standing their ground against the Financial Industry Regulatory Authority’s proposal to launch a three-year “pilot” allowing most firms…
Financial Advisor IQ (April 27, 2023) - The House Financial Services Committee passed several bills making it easier for investors to qualify as “sophisticated” or “accredited” in order to gain…
Financial Advisor IQ (April 14, 2023) - The industry watchdog says it took into account public comments, including criticism from state securities regulators and Piaba. The Financial Industry…
InvestmentNews (April 14, 2023) - NASAA says Finra's modifications don't do enough to make it harder for brokers to clear customer disputes from their records. State securities regulators continue…
InvestmentNews (April 13, 2023) - The measure establishes tighter procedures and a special roster of arbitrators to hear brokers' requests to clear their records of customer disputes. A Finra…