-
Although in-person hearings aren’t banned outright, none have taken place since the onset of the coronavirus pandemic.October 23
-
Industry groups warn of creeping fiduciary obligations, while consumer advocates see it as a setback for investor protectionsAugust 7
-
FINRA blocked the influential advisor and wealth management entrepreneur on one case, but an arbitrator backed him on another.January 22
-
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
-
BrokerCheck is potentially missing critical information clients need to evaluate brokers, investor advocates say.October 17
-
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
-
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
-
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
-
An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.August 7
