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In the Media
Financial Advisor IQ (October 30, 2019) - Lawyers are warning against a particular style of venue-shopping more open to hybrid RIAs than any other type of advisory.
The vast majority of advisors who…
Financial Advisor (October 7, 2019) - Finra's board of directors advanced for public comment a proposal that will allow brokers to clear their record of customer disputes.
The self-regulatory…
Financial Advisor (September 24, 2019) - President Trump “strongly opposes” the newly-passed House bill to prohibit mandatory pre-dispute arbitration agreements and would likely veto such legislation…
Financial Advisor (September 23, 2019) - The House has passed a bill that would prohibit mandatory arbitration in brokerage and advisor contracts, giving consumer advocates who have been fighting for…
InvestmentNews (September 23, 2019) - Finra spokeswoman: Case staff advise arbitration panels on rules, procedures
This story has been revised to indicate that under Finra rules, arbitrators must…
InvestmentNews (September 20, 2019) - Legislation unlikely to get through Senate but sends a message for potential future action.
Advocates for prohibiting mandatory arbitration for investment…
Financial Planning (September 5, 2019) - An advisor accused by the SEC of defrauding investors and eventually barred from the industry was allowed by the agency to choose the buyer of his firm,…
Financial Advisor IQ ( August 1, 2019) - As the old saying goes, one bad apple spoils the bunch. And although the vast majority of brokers are upstanding individuals with clean records and their…
InvestmentNews (July 8, 2019) - PIABA: It falls short of solving unpaid arbitration. FSI: It gives Finra too much power.
Investor advocates say a Finra proposal to crack down on rogue brokerages…
Financial Advisor IQ ( July 1, 2019) - Pedestrians taking the shortest route need only 17 minutes to walk from Wall Street to Warren Street in Lower Manhattan. But the ideological divide between…