In the Media

Financial Advisor (January 6, 2020) - Investors may soon be able to bypass arbitration and proceed to court if their broker or brokerage firm leaves the business while an arbitration claim is pending…
CNBC (December 20, 2019) -  Key Points The SEC has proposed rules to expand the pool of investors who can buy so-called private funds, which are only available to fairly wealthy consumers.…
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…