InvestmentNews (April 10, 2017) - Explanations for removing a complaint from a broker's record range from a couple paragraphs to several pages, but critics still worry about the impact to investors…
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In the Media
NAPA Net (April 4, 2017) - Having received the final rule on its proposed extension of the applicability date from the Labor Department, the Office of Management and Budget has scheduled a couple of…
Bloomberg BNA (March 29, 2017) - Robo-advisers like Betterment LLC, Financial Engines Inc. and Wealthfront Inc. stand to win a lot of business even if the Department of Labor fiduciary rule they…
Townhall (March 22, 2017) - The fiduciary rule was a controversial initiative of the Obama administration that was quickly reversed by President Trump. Proponents say it would ensure more…
AdvisorHub (March 17, 2017) - Chalk one up for a pair of Morgan Stanley brokers fighting to keep their regulatory records clean, and the Honolulu-based arbitrator who labored on their case for more…
The Norman Transcript (March 12, 2017) - The fiduciary rule, which would require retirement advisers to act in the best interest of their clients, is set to go into effect on April 10, but in a Feb.…
The Detroit News (March 3, 2017) - With one eye on Washington and the other on their client list, the nation’s financial industry is already ramping up for the “fiduciary rule,” which dramatically…
Watchdog.org (February 28, 2017) - With one eye on Washington and the other on their client list, the nation’s financial industry is already ramping up for the “fiduciary rule,” which dramatically…
AdvisorHub (February 27, 2017) - A former pharmaceutical executive serving an 18-year manslaughter sentence is battling to bring a $37 million arbitration claim against Merrill Lynch Pierce Fenner…
Bloomberg BNA (February 22, 2017) - The Labor Department’s fiduciary rule survived yet another legal challenge when a federal judge in Kansas upheld the rule on its merits after previously refusing…