In the Media

If approved, rule would prohibit investor complaints from being contingent on clearing a broker's recordInvestmentNews (April 14, 2014 7:43 pm) -- A rule that Finra sent to the Securities and…
topstockstobuyfor2015.com (MainStreet) (April 7, 2014) -- Investors are always urged to perform due diligence when hiring a financial advisor, and one platform often recommended is the Financial…
onwallstreet.com (April 1, 2014 3:52 pm) -- The fairness of FINRA’s arbitration process is being called into question as lawyers and clients consider legal action to obtain new hearings or revisit…
sacbee.com (March 30, 2014 11:00 pm) --  When New York financier Bernard Madoff was sentenced to life in prison for masterminding one of the biggest investor Ponzi schemes in U.S. history, it was an…
Latest Fiduciary Rule Battle Cry: 'Broker Ads Mislead Investors' bankinvestmentconsultant.com (March 27, 2015 1:46 pm) -- From Allstate Financial's "good hands" to a Merrill Lynch ad about putting "…
BloombergBusiness (March 25, 2015 12:30 pm) -- A warning to consumers and a call for action from the federal government were sounded today: Nine top U.S. brokerage firms including Merrill Lynch,…
PatriotLedger.com (March 23, 2014 8:20 am) -- New report shows necessity for extra checks on brokers Many victims of financial frauds and bad brokers could avoid trouble by doing a simple background…
The National Law Review (March 20, 2014) -- PIABA released on March 6, 2014 its Report entitled “The Inequality of Investor Access to Information,” an an attack on the FINRA BrokerCheck program that…
InvestmentNews (March 16, 2014 11:01 pm) -- Is it possible to serve two masters? The Financial Industry Regulatory Authority Inc. would do well to keep that question in mind as it tries to sort out…
Muck Rack (investmentnews.com) (March 16, 2014 10:20 am) — Heightened scrutiny of Finra's expungement process is making it harder for brokers to clear their names, according to a survey of…