Financial Advisor IQ (February 21, 2019) - Morgan Stanley filed a lawsuit this week laying out an unusually circuitous legal theory against a former customer. Essentially, the wirehouse is trying to…
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In the Media
Financial Advisor IQ (February 19, 2019) - An investor alleges in a new breach-of contract lawsuit that he invested about $500,000 with Merrill Edge, Bank of America’s self-directed online investment…
Financial Advisor IQ (February 5, 2019) - Has a “tsunami” of investor complaints against financial advisors landed, as plaintiff lawyers predicted it would following a market correction?
Yes,…
OnWallStreet (January 24, 2019) - It’s no secret that the CFP Board has been trying to make planning a more recognized, reputable profession. One of the strongest tools it wields in that fight is a…
Financial Advisor (January 16, 2019) - Fiduciary and investor advocates from 13 groups are meeting today in Washington, D.C., to determine whether they can agree on a 2019 strategy for amending and…
Financial Advisor IQ (January 7, 2019) -A Denver-based law firm appears to have made a cottage industry out of clearing broker records — and its founder is in no way apologetic about being the leader…
Financial Planning (January 4, 2019) - FINRA wants to tighten the rules about who can represent clients in its private arbitration forum.
To that end, it has asked the SEC to approve a new rule that…
InvestmentNews (January 3, 2019) - Critics may take Dochtor Kennedy to task for helping brokers clean up their disciplinary records, but no one can argue with his success. The 39-year-old president…
Forbes (December 14, 2018) - The Public Investors Arbitration Bar Association (PIABA) said Thursday a safety net should be created for investors when brokers don’t pay FINRA awards for wrongs from…
Financial Advisor IQ (December 14, 2018) - A persistent problem in the broker-dealer industry – unpaid awards in customer arbitration disputes – was a hot topic at the SEC Investor Advisory Committee…