In the Media

Mondovisione (October 24, 2023)  Requests for the expungement of customer complaints against their investment brokers were granted at an astonishing rate of 90% according to a new report on FINRA…
Insurance Newsnet (October 25, 2023) By Doug Bailey A nearly 10-year campaign by investor advocates to prevent widespread erasure of consumer complaints from regulator databases has made recent…
Financial Planning (October 24, 2023)  By Dan Shaw An investors' rights group finds that FINRA arbitration panels are about three times less likely to purge brokers' disciplinary records if they're…
Financial Advisor (October 24, 2023) By Eric Rasmussen: A new investor advocacy report has arrived criticizing advisors' abuse of arbitration to erase customer complaints, just as the regulatory…
Wealth Management (October 19, 2023) - The Labor Department's latest attempt at amending its fiduciary definition is currently under consideration by the White House’s Budget Department and is…
InvestmentNews (October 10, 2023) - 'If Finra doesn’t have the ability to enforce its own rules and discipline its members, then chaos will reign,' says PIABA President Hugh Berkson. Eugene H. Kim…
AdvisorHub (October 9, 2023) - The Financial Industry Regulatory Authority has proposed a new rule barring non-lawyers who receive compensation from representing parties in its arbitration forum.…
Financial Planning (October 5, 2023) - Cartoonist Ashleigh Brilliant's quip, "I don't have any solution, but I certainly admire the problem," encapsulates the Securities and Exchange Commission's…
JDJournal (September 28, 2023) - Consumer Advocates Rekindle Fight for Retiree Financial Protection as Labor Department Pursues Fiduciary Rulemaking Reviving the Cause In the arena of financial…
Bloomberg Law (September 28, 2023) -  Groups prepare for renewed fight over conflicted advice Proposal likely to address five-part fiduciary test loopholes Consumer advocates are readying…