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…
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In the Media
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…
CityWire (June 29, 2023) - While Finra-registered brokers are required by Finra to report any pending complaints, results of arbitration hearings and the existence of settlements, RIAs don't have to…
WealthManagement (June 29, 2023) - Commissioned by the U.S. House Committee on Appropriations, the study confirms views that mandatory arbitration agreements imposed by fiduciary-bound RIAs can…
ThinkAdvisor (June 29, 2023) - The Securities and Exchange Commission has no way to track the number of registered investment advisor arbitrations or unpaid arbitration awards, according to a just-…
Financial Planning (June 29, 2023) - Brokers subject to a less stringent duty than fiduciary advisors have a more customer-friendly arbitration process than some registered investment advisory firms…
AdvisorHub (June 28th) - A Securities and Exchange Commission report to Congress on Tuesday raised concerns about registered investment advisory firms’ use of mandatory arbitration clauses in retail…
Financial Advisor IQ (June 16, 2023) - There is “no substitute” for on-site examinations, according to Sander Ressler, a compliance consultant who works with broker-dealer and registered investment…
AdvisorHub (June 13, 2023 ) - A former top-ranked RBC Wealth Management-U.S. and Ameriprise Financial broker whose record includes a kidnapping charge and $2.5 million client claim has accepted an…