In the Media

FinancialPlanning (November 15, 2017) - A new report by a group of securities arbitration attorneys calls into question FINRA's ability to protect investors given alleged conflicts of interests on…
Bank Investment Consultant (November 8, 2017) - The SEC is moving to correct gaps in the oversight of advisors that allow bad actors to slip through the cracks. In remarks today at the Practicing Law…
InvestmentNews (November 4, 2017) - The new SEC chairman is confident he can come up with a rule better than that of the Department of Labor — one that satisfies brokers, investment advisers and…
InvestmentNews (October 31, 2017) - A Treasury proposal seeks to amend rules for plan sponsors to help them assess the long-term viability of insurance companies The Trump administration wants to…