Wealth Management.com (October 19, 2017) - The regulator began a comment period on the topic Wednesday.
The Financial Industry Regulatory Authority is considering whether non-attorneys should be able…
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In the Media
InvestmentNews (October 3, 2017) - Alabama securities director takes helm of state regulators' association for third time, and at age 64 he might still make time to ride his motorcycle
When Joe Borg…
Daily Report (September 25, 2017) - Consumers aren’t the only ones suing over the Equifax data breach: Small businesses, including a law firm and a credit union, want to recoup financial losses tied…
ThinkAdvisor (September 25, 2017) - Consumers aren’t the only ones suing over the Equifax data breach: Small businesses, including a law firm and a credit union, want to recoup financial losses tied…
Barron's (September 22, 2017) - Finra is starting to attract a more diverse pool of arbitrator applicants, but increasing the corps’ diversity it’s looking like a long-term project, Financial…
Law.com (September 22, 2017) - Consumers aren’t the only ones suing over the Equifax data breach: Small businesses, including a law firm and a credit union, want to recoup financial losses tied to…
Finanical Planning (September 21, 2017) - FINRA is making progress toward its goal of having a less homogeneous pool of arbitrators, an effort that is likely to take many more years. Of the 945…
PR Newswire (September 20, 2017) - ATLANTA -- The estimated 28 million small business operators in the U.S. face special risk of suffering multiple damages arising from the latest Equifax data breach…
WealthManagement.com (September 13, 2017) - Andrew Stoltmann, president-elect of PIABA, is taking on Wall Street and the fiduciary duty. Andrew Stoltmann Age: 45 Position: Executive vice president…
CFO Daily News (August 31, 2017) - CFOs won’t have to worry about the controversial fiduciary rule changes for a while — if they even have to worry about those changes at all. That’s because the…