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In the Media
InvestmentNews (February 8, 2017) - Agency said it recruited 945 arbitrators in 2016, and that 33% were women and 14% African American. But reform advocates seek broader changes, such as with the…
ThinkAdvisor (February 8, 2017) - FINRA has taken action on 35 of 51 recommendations made in the Dispute Resolution Task Force’s final report The Financial Industry Regulatory Authority said…
Financial Advisor IQ (February 7, 2017) - Clearing complaints from an advisor’s BrokerCheck record may be too easy, The Street writes. Last month a Finra arbitration panel ruled that former UBS…
Money (January 24, 2017) - It's gotten a little easier to check out the background on your financial advisor. Changes to the industry's free, widely used advisor directory, BrokerCheck, aim to…
Financial Advisor IQ (January 23, 2017) - Prominent consumer advocate groups are telling the public there’s a mismatch between how financial firms market themselves to clients and how they describe…
CPA Practice Advisor (January 19, 2017) - Twenty-five top U.S. brokerage firms and insurance companies present their employees as trusted financial advisors putting client interests first even as…
Benefits PRO (January 18, 2017) - Firms conduct 'charade' of acting like advisors to customers 'while relying on their trade associations to argue the opposite in court' Fiduciary or salesperson? An…
Value Walk (January 18, 2017) - Fiduciary Rule/Brokerage and Insurance Industry Deceptions Blasted – Report: 25 Major Financial Firms Misleading Consumers Executive Summary When is a “financial…
The Wichita Eagle (January 18, 2017) - What was a source of pride for the Wichita office of Robert W. Baird & Co. in 2015 is now a more than $23.5 million headache – and it’s one that a lot of…
The State (January 11, 2017) — Dave Maxfield will serve as president of the Richland County Bar Association for 2017. Maxfield has represented individual consumers in cases against banks, credit…