In the Media

Wealth Management (July 25, 2023) - A commission report from last month highlights the problem of forced arbitration clauses in contracts between RIAs and clients. Following last month’s report by…
Financial Planning (July 25, 2023) - Investor attorneys to press SEC, Congress on RIA arbitrations The client complaint process for some registered investment advisory firms may cost the harmed…
Barron's (July 25, 2023) - When disputes arise between investors and the financial advisors, the process for resolving them is opaque and often expensive. An influential group of attorneys who…
Financial Advisor IQ (July 13, 2023) - The industry’s self-regulator wants to allow more flexibility as far as what’s counted as experience by brokers wanting to use their home offices as residential…