Wealth Management (July 25, 2023) - A commission report from last month highlights the problem of forced arbitration clauses in contracts between RIAs and clients.
Following last month’s report by…
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In the Media
Financial Planning (July 25, 2023) - Investor attorneys to press SEC, Congress on RIA arbitrations
The client complaint process for some registered investment advisory firms may cost the harmed…
Barron's (July 25, 2023) - When disputes arise between investors and the financial advisors, the process for resolving them is opaque and often expensive. An influential group of attorneys who…
Financial Advisor IQ (July 13, 2023) - The industry’s self-regulator wants to allow more flexibility as far as what’s counted as experience by brokers wanting to use their home offices as residential…
Insurance Newsnet (July 11, 2023) - A California retiree suspects his investment advisor has cost him a quarter million dollars from improper trading or spending and decides to take legal action. But…
TerrySavage.com (July 8, 2023) - More and more investors are learning the hard way that if you have a complaint against a broker or registered investment advisor, it’s going to be tough to get…
Financial Planning (July 6, 2023) - In the latest sign of regulators' ongoing struggle to accommodate financial planners' newfound love for remote work, FINRA is again tweaking its residential office…
Tribune Content Agency (June 30, 2023) - More and more investors are learning the hard way that if you have a complaint against a broker or registered investment adviser, it’s going to be tough to…
ABS Market Research (June 29, 2023) - A recent report from the U.S. Securities and Exchange Commission (SEC) has raised concerns about the practice of including mandatory arbitration clauses in…
InvestmentNews (June 29, 2023) - The report says more than half of investment advisors force their clients to go to arbitration to settle disputes, but it doesn't put a number on RIA arbitration…