In the Media

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…