Financial Planning (November 7, 2023) By Dan Shaw
Investor advocacy groups are out with a slew of briefs arguing that a lawsuit questioning FINRA's mere right to exist could blow open a…
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In the Media
AdvisorHub (November 1, 2023) By Miriam Rozen
Some financial advisors did not get a lot of love from the White House bully pulpit on Tuesday when President Joe Biden rolled out the Department of…
Law360 (November 1, 2023) By Dan Shaw
An embattled brokerage firm has its knives out against FINRA in a court case that the industry self-regulator warns poses an "existential threat" to a…
Securities Arbitration Alert (November 1, 2023) By George H. Friedman
On the heels of the October 16 effective date of a number of rule amendments affecting the expungement of customer dispute…
The Street (October 31, 2023)
The Department of Labor's Employee Benefits Security Administration is proposing a new rule that would protect workers' retirement savings by updating the regulation…
Financial Planning (October 31, 2023) By Tobias Salinger
A new version of the Department of Labor fiduciary rule that the agency is calling the "retirement security rule" is setting up the industry'…
WealthManagement (October 31, 2023) By Patrick Donachie
The Labor Department unveiled its latest version of a fiduciary rule on Tuesday, with supporters arguing the proposal largely fell in line…
The DI Wire (October 30, 2023)
The Public Investors Advocate Bar Association, a 501(c)(6) non-profit international bar association, and its sister 501(c)(3) charitable organization, the PIABA…
Financial Planning (October 28, 2023) By Brian Wallheimer
There are a lot of numbers bandied about when it comes to expungement. The biggest and most important might be the 90% rate at which brokers…
Business Law Prof Blog(October 26, 2023) - By Benjamin P. Edwards
PIABA, the Public Investor Advocate Bar Association, and the PIABA Foundation released a new report on FINRA expungement earlier…