In the Media

InvestmentNews (October 19, 2017) - Move is designed to address unpaid arbitration claims, but critic says it doesn't go far enough Finra is seeking to allow investors in arbitration to take their…
Barron's (October 19, 2017) - Finra wants to allow investors in arbitration to take their claims to court if their brokerages or brokers go bankrupt while arbitration is underway, InvestmentNews…
Wealth Management.com (October 19, 2017) - The regulator began a comment period on the topic Wednesday. The Financial Industry Regulatory Authority is considering whether non-attorneys should be able…
InvestmentNews (October 3, 2017) - Alabama securities director takes helm of state regulators' association for third time, and at age 64 he might still make time to ride his motorcycle When Joe Borg…