Fourth Circuit Opinion Reveals A Fundamental Problem With The Arbitration Process (A Problem That PIABA Exploits): Arbitrators Need Not Do Their Job Well, Or Even Correctly

August 26, 2020

Federal Judge Rules That While Zoom Arbitrations Are “Clunkier,” They Are Not Unfair

August 19, 2020

FINRA Membership Statistics Demonstrate The Continuing Demise Of Small BDs, And The Accompanying Rise Of IAs

August 7, 2020

Two — No, Make That Three — FINRA AML Settlements Drive Home The Point: When It Comes To Supervision, Actions Speak Louder Than Words

August 5, 2020

FINRA ♥ Rule 8210

July 23, 2020

Goodbye Suitability, Hello Best Interest. But What Does That Mean, Practically Speaking?

June 26, 2020

What Do You Call A Nominating Committee That Doesn’t Actually Nominate Anyone? A FINRA Nominating Committee

June 19, 2020

More Thoughts On Hold Recommendations In A Reg BI World

June 12, 2020

For FINRA, Restitution Is The Solution

June 5, 2020

FINRA’s New MAP Rules Put Customers’ Interests Ahead Of Everything, Including Logic

June 3, 2020