In the Media

Financial Planning (October 5, 2023) - Cartoonist Ashleigh Brilliant's quip, "I don't have any solution, but I certainly admire the problem," encapsulates the Securities and Exchange Commission's…
JDJournal (September 28, 2023) - Consumer Advocates Rekindle Fight for Retiree Financial Protection as Labor Department Pursues Fiduciary Rulemaking Reviving the Cause In the arena of financial…
Bloomberg Law (September 28, 2023) -  Groups prepare for renewed fight over conflicted advice Proposal likely to address five-part fiduciary test loopholes Consumer advocates are readying…
InvestmentNews (September 27, 2023) - The rule allowing such inspections is due to expire at the end of this year, but Finra has asked to delay the expiration until June 30. The Financial Industry…
Off Plan Property Exchange (September 19, 2023) - The Financial Industry Regulatory Authority (FINRA) has taken enforcement actions against a former broker for violating Regulation Best Interest (Reg…
Advisorhub (September 19, 2023) - The Financial Industry Regulatory Authority continues to bring enforcement actions over violations of the three-year-old Regulation Best Interest rule and this week…
Investment News (September 14, 2023) - Over nearly three years 'our branch examiners have refined their skills and become very adept at identifying risk remotely,' insists LPL Financial. State…
InvestmentNews (August 24, 2023) - A brokerage and a rep, both targets of Finra disciplinary actions, have filed suits questioning the regulator’s constitutionality. A Washington, D.C., federal…
Massachusetts Lawyers Weekly (August 28, 2023) - Where a plaintiff filed a complaint challenging the validity of a state regulation that brings the fiduciary obligations of broker-dealers in line…
ABS Market Research (August 16, 2023) - The process for removing customer complaints from broker records is as simple as erasing pencil traces off paper. It’s also invisible to the public. The…