In the Media

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…
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…