In the Media

Financial Advisor (May 10, 2022) - The Financial Industry Regulatory Authority received more than 750 responses to its complex product request for comment by the time the comment period closed on…
ThinkAdvisor (May 4, 2022) - What You Need to Know FINRA is moving ahead on an overhaul of its expungement process. A lawyer for investors says too many expungements are still being granted. A…
Financial Advisor (April 29, 2022) - The Financial Industry Regulatory Authority is resurrecting an effort to revise its expungement process, citing a variety of ways its reps push the system to…
FinancialPlanning (April 28, 2022) - After FINRA’s withdrawal of a broker expungement arbitration reform proposal, the regulator is now suggesting a “two-track approach” that includes the SEC…