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- The U.S. Securities and Exchange Commission's Office of the Investor Advocate gave clients of Registered Investment Advisors an amazing holiday gift
- Public Investors Advocate Bar Association (PIABA) @PIABANews' 32nd Annual Meeting on my panel
- A new twist on abusive arbitration practices in the securities industry
- The U.S. Securities and Exchange Commission released a report to the US Congress discussing the use and abuse of forced arbitration by RIAs.
- Tracey Longo's article for FA Magazine
- Finra fines small New York broker-dealer for Reg BI failures
- More Reg BI Actions May Be Ahead: SEC Enforcement Chief
- In First Reg BI Action, SEC Hits BD Over Sales of Risky Bonds to Retirees
- SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
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