In the Media

Openonline.com (January 13, 2015) -- The Securities and Exchange Commission (SEC) approved a Financial Industry Regulatory Authority (FINRA) rule that mandates firms strengthen the background…
Finra Doesn’t Make Public All Its Information About BrokersWall Street Journal (December 26, 2014 8:47 pm) -- Wall Street’s own national watchdog doesn’t make public all the regulatory red flags it…
cleveland.com (November 28, 2014 6:30 am) -- Most of us know more about Kim Kardashian's rear end than we do about those pesky arbitration clauses found in our credit card, cell phone and online…
SAC.com (November 20, 2014) -- Right after we went to press last week came news that the D.C. Circuit had ruled against PIABA in its suit against the SEC seeking disclosure under the Freedom of…