In the Media

Wealth Advisor (February 6, 2024)  Legislators are intensifying their calls for the reform of arbitration processes involving disputes between clients and wealth advisors. This marks a significant…
Financial Advisor (February 2, 2024) By Tracey Longo Seven prominent investor advocacy groups have formed a coalition to turn up the heat on the Securities and Exchange Commission and Congress to…
Advisor.ca (February 2, 2024) By James Langton Firms use forced arbitration to discourage clients from pursuing complaints. U.S. investor and consumer advocates are teaming up to escalate their…
Financial Advisor IQ (February 2, 2024) By Glenn Koch The newly formed Investor Advocacy Coalition is calling on the Securities and Exchange Commission to review registered investment advisors’…
Investment Executive (February 2, 2024) By James Langton Firms use forced arbitration to discourage clients from pursuing complaints. U.S. investor and consumer advocates are teaming up to escalate…
Financial Advisor (February 2, 2024) By Tracey Longo Legislation introduced this week would prohibit registered investment advisors, broker-dealers and securities dealers from using customer…
MondoVisione (February 2, 2024)  Formation Of Investor Advocacy Coalition Follows Increasing Complaints From Wronged Investors, Scathing SEC OIA Report That Found Rias In ‘Violation Of The Fiduciary…
AdvisorHub (February 1, 2024) By Miriam Rozen A coalition of investor advocates on Thursday sounded the alarm once again about registered investment advisory firms’ widespread use of forced…
InvestmentNews (February 1, 2024) By Mark Schoeff Jr. 'Investors are forced into an arbitration process that’s unfair – a process that too often leaves retirees ripped off by unscrupulous RIAs and…
Insurance Newsnet (January 31, 2024) By John Hilton The Securities and Exchange Commission (SEC) is getting heat from both investor and advisor groups this week over its regulatory strategies.…