In The Media
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Wells Fargo Investors Support Lawsuit Alleging Firm Rigged Arbitration Case
- Financial Planning: LPL and Integrated Partners RIA quietly settled fraud case for $1M
- FINRA Wants to Make it Harder for Brokers to Clear Their Records
- Financial Planning: FINRA punishments in 2021 Tell Two Tales
- ThinkAdvisor: Wells Fargo Appeals Arb Ruling Struck Down in Court
- Financial Planning: Wells Fargo’s Appeal of Bombshell 'Fraud' Ruling in FINRA Case Casts Harsh Spotlight on Regulators
- ThinkAdvisor: Wells Fargo Appeals FINRA Arb Ruling Struck Down in Court
- Wall Street Journal: Wells Fargo Gamed System in Investor Arbitration, Judge Says
- Barron's: Wells Fargo Won an Investor Dispute. Judge Says It Gamed the System.
- Financial Planning: Costly forced arbitration against RIAs harms investors
- Financial Planning: Election 2020: Restoring balance, and investor protections, at the SEC
- Financial Planning: Client attorneys say RIAs force disputes into costly arbitration
- ARS: A Few Mi with New PIABA President Mike Edmiston
- ThinkAdvisor: PIABA to Push SEC to Revise Form CRS, New President Says
- ThinkAdvisor: Reg BI Report Zooms in on BDs' Lack of Compliance
- InvestmentNews: Securities arbitration and RIAs
- InvestmentNews: Political tension could permeate the SEC’s 2022 agenda
- InvestmentNews: Industry, investor advocates differ on NASAA’s unpaid arbitration model rule
- RIA In a Box: Top RIA Compliance News Articles for the Week of October 29th, 2021
- Wealth Management: Georgia Court Vacates FINRA Award, Decrying 'Secret Agreement' With Wells Fargo
- MoneyTalksNews: Trouble With a Broker? Don’t Assume a Payout Is Coming
- Kitces: Weekend Reading for Financial Planners
- St. John’s Legal Studies Research Paper No. 18-0012: Eligibility and Statutes of Limitations in Arbitration
