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In the Media
Financial Advisor IQ (November 17, 2017) - The Public Investors Arbitration Bar Association claims that almost half of the public governors on Finra’s board tasked with protecting investors’…
Investment Executive (November 16, 2017) - A new report from the Public Investors Arbitration Bar Association says that six of FINRA’s 13 current and immediate past public governors “appear to have…
WealthManagement.com (November 15, 2017) - The report claims public governors on the regulator’s board are too distant from investor interests.
A not-for-profit industry group recently scrutinized…
Financial Advisor (November 15, 2017) - The Public Investors Arbitration Bar Association says Finra’s public board members may not truly represent the investing public.
In a report released Wednesday…
InvestmentNews (November 15, 2017) - Public Investors Arbitration Bar Association report slams self-regulator over its picks for board of governors
The Public Investors Arbitration Bar Association, a…
ThinkAdvisor (November 15, 2017) - FINRA’s Board 'has public board members who have very deep ties to the securities industry,' said PIABA's Stoltmann
The Financial Industry Regulatory Authority’s…
FinancialPlanning (November 15, 2017) - A new report by a group of securities arbitration attorneys calls into question FINRA's ability to protect investors given alleged conflicts of interests on…
Bank Investment Consultant (November 8, 2017) - The SEC is moving to correct gaps in the oversight of advisors that allow bad actors to slip through the cracks.
In remarks today at the Practicing Law…
InvestmentNews (November 4, 2017) - The new SEC chairman is confident he can come up with a rule better than that of the Department of Labor — one that satisfies brokers, investment advisers and…
InvestmentNews (October 31, 2017) - A Treasury proposal seeks to amend rules for plan sponsors to help them assess the long-term viability of insurance companies
The Trump administration wants to…