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Financial Advisors IQ (March 4, 2022) - The Financial Industry Regulatory Authority’s arbitrator selection process is designed to allow for flexibility in who gets to hear the cases.
The Financial…
FinancialPlanning (March 3, 2022) - Wells Fargo’s battle against a blistering court ruling that it rigged the investor dispute process in a secret pact with Wall Street’s self-regulator has unleashed…
ThinkAdvisor (February 25, 2022) - What You Need to Know
Wells Fargo is appealing a Georgia judge’s ruling that Wells Fargo and its counsel manipulated FINRA's arbitrator selection process.
The…
AdvisorHub (February 23, 2022) - (Corrects to note the mark on the Kaplans’ records from Morgan Stanley, which was ultimately expunged, related to employment separation allegations, not a client…
AdvisorHub (February 22, 2022) - The Financial Industry Regulatory Authority has hired an outside law firm to conduct a review of its arbitrator selection procedures in a controversial case,…
ThinkAdvisor (February 18, 2022) - What You Need to Know
Christopher Gerold, a Lowenstein partner and former chief of the New Jersey Bureau of Securities, will lead the investigation.
An Atlanta…
ThinkAdvisor (February 16, 2022) - Members of several Senate and House committees spent Valentine’s Day getting briefed on the need for the Labor Department’s anticipated new fiduciary rule.…
Financial Advisors IQ (February 11, 2022) - Sen. Elizabeth Warren, D-Mass., and Rep. Katie Porter, D-Calif., are calling on the Financial Industry Regulatory Authority to give details on its…
InvestmentNews (February 10, 2022) - Sen. Elizabeth Warren, D-Mass., and Rep. Katie Porter, D-Calif., asked how arbitrators were chosen and whether the firm influenced the selection.
Senate and…
Financial Planning (February 8, 2022) - As FINRA prepares to implement a new rule that takes aim at firms with a “significant history of misconduct,” lawyers, investor groups and others within the…