In the Media

Advisor's Edge (December 11, 2019) - Requiring brokerage firms to disclose whether they have E&O insurance could enhance investor protection With hundreds of millions of dollars in investor…
InvestmentNews (December 11, 2019) - Measures would have to find GOP support for any hope of Senate approval. Recently introduced bills in the House and Senate would ban mandatory arbitration…
InvestmentNews (December 11, 2019) - NASAA says step would help address problem of unpaid arbitration awards State securities regulators encouraged brokerages Wednesday to use insurance to fund…
Financial Advisor IQ (October 30, 2019) - Lawyers are warning against a particular style of venue-shopping more open to hybrid RIAs than any other type of advisory. The vast majority of advisors who…