In the Media

Regulators taking care of more pressing mandatory rules firstInvestmentNews (July 18, 2014 12:11 pm) -- As financial regulators slog through hundreds of required rulemakings in the sprawling Dodd-…
WealthManagement.com (July 17, 2014 ) -- The Financial Industry Regulatory Authority has assembled a 13-person task force to recommend improvements to the arbitration process. The task force will be…
How to find the best person to help you manage your life savingsMarketWatch (July 7, 2014 8:04 am) -- Who should investors turn to for financial advice?Brokers, advisers and planners have different…
The market rally underscores the importance of knowing the standard to which your financial pro is held.The Wall Street Journal (July 3, 2014 5:10 pm) -- Who should investors turn to for financial…
As Finra looks to make BrokerCheck more visible, youthful indiscretions come back to haunt some advisersInvestmentNews.com (June 27, 2014 2:24 pm) -- As Finra looks to boost awareness of its database…
Wall Street On Parade (June 24, 2014) -- It’s gotten to the point that to maintain an account on Wall Street you have to surrender to a no-law zone. Wall Street is the only industry in America that…
New proposal would prevent people with industry experience from becoming “public arbitrator"InvestmentNews (June 18, 2014 8:19 pm) -- In redefining its categories for arbitrators, Finra is not only…
Reuters (June 13, 2014 12:10 pm) - The U.S. Securities and Exchange Commission has extended the deadline for its review of a proposal to ban a type of settlement in disputes between brokerages and…
Business Advocate (June 6, 2014) -- The Securities and Exchange Commission ("SEC") recently announced that it was initiating proceedings to determine whether to approve or disapprove of a proposed…
Forbes (June 25, 2014 10:04 am) -- Recently, I gave a presentation to a philanthropic group where I asked this question: “Do you know how much advisors and their firms make from the investments they…