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The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.August 5
DirectorSecurities Arbitration Clinic at the Law School of St. John's University -
The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.January 4
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The rarely dinged firm joined peers grappling with two issues: mutual fund fees and supervision of advisors who've been sanctioned multiple times.December 6
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Researchers from top business schools studied arbitrator selection, as shown in nearly 9,000 cases filed by clients over a 27-year span.October 24
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An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.August 7
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If it's not uniform, and it's not a fiduciary standard, then it is at best a modest step forward, investor advocates say.April 19
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Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.April 12
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The regulator moved to eliminate a $400 fee for “explained decisions.”March 22
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Citing mounting investor losses from unpaid arbitration awards, investor advocates see a role for Congress to force FINRA's hand.March 7
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Investor advocates laud regulator's newest steps to address the longstanding problem.February 9
