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In the Media
ThinkAdvisor (June 29, 2023) - The Securities and Exchange Commission has no way to track the number of registered investment advisor arbitrations or unpaid arbitration awards, according to a just-…
Financial Planning (June 29, 2023) - Brokers subject to a less stringent duty than fiduciary advisors have a more customer-friendly arbitration process than some registered investment advisory firms…
AdvisorHub (June 28th) - A Securities and Exchange Commission report to Congress on Tuesday raised concerns about registered investment advisory firms’ use of mandatory arbitration clauses in retail…
Financial Advisor IQ (June 16, 2023) - There is “no substitute” for on-site examinations, according to Sander Ressler, a compliance consultant who works with broker-dealer and registered investment…