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…
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In the Media
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…
AdvisorHub (August 14, 2023) - Come October, brokers may have a tougher time erasing customer disputes from their public record.
The Financial Industry Regulatory Authority has adopted a raft of…
InvestmentNews (August 14, 2023) - Securities attorney hails 'good day for Finra and an even better day for investors.'
Attorneys who represent investors in actions against brokerages and registered…
WealthManagement (August 14, 2023) - The adopted amendments released last week will cut down on alleged abuses in the expungement process, according to a former president of the Public Investors…
Financial Planning (August 7, 2023) - Brokers are getting at least another month to comment on a proposal that would let them conduct their internal inspections of home and branch offices remotely.…
InvestmentNews (August 3, 2023) - But LPL Financial, Fidelity back the idea of allowing supervisors to work from home, using technology to oversee reps, as they did during the pandemic.
State…
Business Law Prof Blog (July 27, 2023) - Last month, the SEC released a report on Mandatory Arbitration Among SEC-Registered Advisers. The report tackles a basic dispute resolution problem. For…
Citywire RIA (July 26, 2023) - Some investors and their legal advocates say that mandatory arbitration can present a prohibitive barrier to RIA clients' ability to pursue claims against firms.…
Financial Advisor (July 26, 2023) - On Tuesday, the Public Investors Advocate Bar Association hosted a press conference in which investors defrauded by registered investment advisors discussed the…