Compliance Week (July 14, 2015) -- The Securities and Exchange Commission should require improvements to the Financial Industry Regulatory Authority’s BrokerCheck system for vetting financial…
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In the Media
Compliance Reporter (July 14, 2015) -- The Public Investors Arbitration Bar Association is concerned about planned changes to rules governing broker/dealers’ communications with the public, arguing…
TheStreet (June 24, 2015 9:00 am) --
Wall Street's private justice system for investor disputes has been full of surprises in recent years.
There was the time the Financial Industry Regulatory…
Industry heavyweights including Schwab, Wells Fargo and SIFMA bemoan new version, saying it's still too costly and vagueInvestmentNews (Jun 18, 2014 1:08 pm) -- Major brokerage firms and industry…
Indianapolis Business Journal (June 9, 2015 ) -- Several investors have filed complaints against veteran money manager Thomas J. Buck in the wake of his high-profile termination from Merrill Lynch in…
Critics say promoting database is worthwhile, but that it doesn't have enough information for investorsInvestmentNews (June 1, 2015 11:36 am) -- Finra launched an advertising campaign on Monday to…
Critics say promoting database is worthwhile, but that it doesn't have enough information for investors(Jun 1, 2015 11:36 am) -- Fire launched a $3.5 million advertising campaign on Monday to…
ThinkAdvisor (May 27, 2015) - In response to my May 20 blog, Clients Deserve a Clear Choice Between Sales and Advice, Frank P., CLU, ChFC, commented in part:“I agree entirely with the author's…
WealthManagement.com (May 27, 2015) - Arbitration in the securities industry – between broker-dealers and their customers – wasn’t always mandatory. In 1972, the predecessor to FINRA created a rule…
Finra: From 2013-14, firms seeking the balance on unpaid loans from ex-brokers won 93% of the timeWall Street Journal (May 14, 2015 9:46 am) -- “When can we expect payment?” asks the soulless lawyer…