Forbes (December 2, 2021) - The Securities and Exchange Commission was told by experts Thursday greater cooperation between government agencies at the federal, state, and local levels and the private…
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In the Media
Senior Financial Abuse Fight Needs More Cooperation By Government Agencies, SEC Told, By Ted Knutson
Financial Planning (November 23, 2021) - RIA clients seeking compensation for losses as a result of advisors’ harmful conduct may have an even smaller chance of success than customers of dually…
Financial Advisor IQ (November 18, 2021) - The House of Representatives' Financial Services Committee has passed a bill first introduced eight years ago that would prohibit broker-dealers, investment…
Investment News (November 17, 2021) - Democrats back the legislation, but Republicans are united against it. While the measure was passed by a House committee, an advocate calls winning congressional…
CounterPunch (November 15, 2021) - When it comes to sycophants, Wall Street has no shortage of them willing to shill for its egregious private justice system called mandatory arbitration – a system…
Investment News (November 12, 2021) - Generally, financial industry groups encouraged state regulators to narrow the measure, while advocates want them to expand it.
State securities regulators are…
Financial Advisor (November 8, 2021) - Groups representing investor attorneys are throwing their support behind a proposal rule that would allow state securities regulators to expel or suspend…
Think Advisor (November 5, 2021) - What You Need to Know:
While there has been incremental progress in Reg BI compliance, broker-dealers still are not abiding by the Reg BI rule now in effect, Lubin…
Think Advisor (November 3, 2021) - What You Need to Know
Michael Edmiston, a securities attorney with Jonathan W. Evans & Associates, will serve a one-year term.
Form CRS should require…
Wealth Management (November 2, 2021) - Melanie Senter Lubin is Maryland Securities Commissioner, President of the North American Securities Administrators Association
All years tend to be busy years…