InvestmentNews (February 15, 2024) By Josh Welsh
Democrats at a House hearing say the retirement rule will ensure workers, retirees and retirement plan sponsors receive advice that is in their best…
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In the Media
JDSupra (February 13, 2024) By Christopher Grobbel, Peter LaVigne, Nicholas Losurdo Goodwin
Firms will be able to treat private residences from which certain supervisory activity is conducted as non…
Barron's (February 6, 2024) By Kenneth Corbin
Democratic lawmakers are calling for an end to the use of mandatory arbitration proceedings to settle disputes between clients and financial advisors.…
MSN via Barron's (February 6, 2024) By Kenneth Corbin
Democratic lawmakers are calling for an end to the use of mandatory arbitration proceedings to settle disputes between clients and financial…
WealthManagement (February 6, 2024) By Patrick Donachie
The “Investor Choice Act” would prohibit b/ds and advisors from mandating client arbitration. Additionally, PIABA and other investor advocates…
Wealth Advisor (February 6, 2024)
Legislators are intensifying their calls for the reform of arbitration processes involving disputes between clients and wealth advisors. This marks a significant…
Financial Advisor (February 2, 2024) By Tracey Longo
Seven prominent investor advocacy groups have formed a coalition to turn up the heat on the Securities and Exchange Commission and Congress to…
Advisor.ca (February 2, 2024) By James Langton
Firms use forced arbitration to discourage clients from pursuing complaints.
U.S. investor and consumer advocates are teaming up to escalate their…
Financial Advisor IQ (February 2, 2024) By Glenn Koch
The newly formed Investor Advocacy Coalition is calling on the Securities and Exchange Commission to review registered investment advisors’…
Investment Executive (February 2, 2024) By James Langton
Firms use forced arbitration to discourage clients from pursuing complaints.
U.S. investor and consumer advocates are teaming up to escalate…