In the Media

InvestmentNews (December 2, 2017) -- This is not the first time the regulator has been called out on the makeup of its board. The bylaws of the Financial Industry Regulatory Authority Inc. state that…
Financial Advisor (November 27, 2017) - It’s no secret that many of the brightest, most ambitious securities attorneys in the country use a coveted stint at the Securities and Exchange Commission to…
ThinkAdvisor (November 27, 2017) - FINRA says it will help SEC with database, while head of PIABA says database only a Band-Aid for a ‘really serious problem’ SEC Chairman Jay Clayton is moving full…
Pittsburgh Post-Gazette (November 20, 2017) - For a regulatory agency dedicated to protecting investors, the Financial Industry Regulatory Authority has some explaining to do. Thus sayeth a group of…