Determining Chief Compliance Officer Liability Isn’t Really That Confounding

August 1, 2022

Equitable’s Settlement With The SEC Demonstrates That A Single Customer Complaint Can Serve As Notice Of A Systemic Issue

July 19, 2022

Barclays AWC Teaches Important Lessons About The Price To Pay For Not Heeding Exam Findings

July 15, 2022

When It Comes To GPB, FINRA Looks At Things Quite Differently Than The SEC And The DOJ

June 23, 2022

The 411 On FINRA Rule 4111

June 2, 2022

FINRA’s Fixation On Unpaid Arbitration Awards Has Morphed Into Something More Dangerous

May 23, 2022

More Thoughts On The Age Of FINRA Arbitrators

May 18, 2022

Lack Of Diversity In FINRA Arbitration Panels, Or, How Many Old, White Guys Does It Take To Hear A Case?

March 18, 2022

When It Comes To Paying Commissions Only To Registered Persons, You Can’t Do Indirectly What You Can’t Do Directly. Or Can You?

March 17, 2022

FINRA Continues To Turn Its Back On Its Members By Failing To Pass A Popular Rule

February 25, 2022