Inside Information

FEBRUARY 27, 2022

You may have read about a recent ruling by a Superior Court judge in Georgia who discovered what I think we all knew: that FINRA runs its arbitration system like a kangaroo court, putting its thumb firmly on the side of the scales of justice that benefit its member brokerage firms.

Clients 40

Clients Financial Planning Accounting Planning 40

The Big Picture

AUGUST 8, 2022

It turns out their business model is a little similar to the way the banking industry has managed to capture a lot of regulators and continue to operate fairly freely without this sort of regulation and capital requirements and equity requirements that would make banking safer. Are you allowed to do mandatory arbitration or not?

Banking 198

Banking Government Insurance Taxes 198

Sara Grillo

SEPTEMBER 26, 2022

JR: P That’s when Sporkin said, we can’t go investigate. You want the list, Tom, I’ll give it to you?

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

APRIL 25, 2023

Really there are a few people in the industry with a better perch on what’s going on, a better position to see the industry, which, depending on which survey you read, is anywhere between $38 trillion and $97 trillion. RITHOLTZ: They’re working an actual career in the industry and teaching part-time. HAMBURGER: Yes.

Compliance 154

Compliance Wealth Management Clients Management 154