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SEC study examines RIA arbitration | Financial Planning

SEC study examines RIA arbitration | Financial Planning
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United statesMichael edmistonExchange commissionPublic investors advocate bar associationAmerican association of individual investorsFinancial services instituteJonathanw evans associatesFinancial markets associationAmerican arbitration associationAmerican securities administrators associationInvestment adviser associationInvestors advocate bar associationSecurities industryAmerican associationIndividual investorsStudio city

SEC report on RIA mandatory arbitration leaves many questions

An SEC report shows more than half of RIAs use mandatory arbitration clauses, but it leaves many questions about potential investor harm.

United statesWarren buffettMichael hansenHugh berksonAmber millerMichael edmistonAmerican arbitration associationExchange commissionfoundPublic investors advocate bar associationFinancial industry regulatory authority incLaw offices of jonathanw evans associatesHouse committee on appropriationsHouse committeeFrontier wealthFinancial industry regulatory authorityPublic investors advocate bar

RTW Investments settles SEC charges over SPACs

The SEC case is the latest to highlight the risks investors run when they get involved with "blank check" companies.

United statesMichael edmistonHealth sciences acquisitions corpJonathanw evans associates in studio cityPublic investors advocate bar associationMaster fundVenture fundSecurities exchangeInnovation master fundExchange commissionNew york basedHealth sciences acquisitionsSecurities exchange actInvestment advisers actSciences acquisitions corpImmunovant sciences

Massachusetts William Galvin case against Stifel shows skepticism of firms supervision claims

The top Massachusetts securities regulator contends a broker's misdeeds could have been prevented if internal compliance officers had only tried.

United statesJoseph crespiWilliam galvinMichael edmistonStifel nicolausLeila shaverAmeriprise financial servicesPublic investors advocate bar associationMerrill lynchJonathanw evans associates in studio cityMassachusetts secretaryCommonwealth william galvinLouis based stifel nicolausNew englandStudio cityRegulation and compliance

Legal Help for Small Investors Is Disappearing

The number of pro bono legal clinics for retail investors harmed by bad investment advice has fallen dramatically over the past decade.

United statesUniversity of nevadaNew yorkPace universityNew jerseyFordham universityUniversity of miamiGeorgia state universityBenjamin edwardsScott eichhornCatherine cortez mastod nevKathy piniewskiEliot spitzerChristine lazaroArthur levittNicole iannarone