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FINRA blocked the influential advisor and wealth management entrepreneur on one case, but an arbitrator backed him on another.January 22
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The authors of a PIABA Foundation study describe a system in which it’s ‘almost impossible’ to put the public’s interests first.October 29
Board memberPIABA Foundation
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BrokerCheck is potentially missing critical information clients need to evaluate brokers, investor advocates say.October 17
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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
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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
