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'Murky disparity' stalls women's progress

Recent claims of pay discrimination and retaliation serve as a reminder that progress for women in the advice industry is not a straight line. ....

New York , United States , David Barton , Jenice Malecki , Genevieve Sisco , Jeremiah Iadevaia , Iowa Civil Rights Commission , Sagepoint Financial Inc , Advisor Group , Wall Street , Sagepoint Financial , Iowa Civil Rights ,

Edward Jones discrimination suit turns scrutiny on DEI promises

The firm could be roasted on the coals of its own publicly shared goals for increased hiring and support for diverse advisors, as well as its internal data that allegedly tracks related metrics. ....

United States , New York , Jaime Jimmy Gaona , Edward Jone Goodknight , Edward Jones , Duane Morris , Saba Bireda , Georgea Hanson , Blair Zigler , Jenice Malecki , Stueve Siegel Hanson , George Floyd , Kathryn Katie Dixon , Employment Opportunity Commission , Smith Barney , Merrill Lynch , Morgan Stanley , Sanford Heisler Sharp , Edward Jone , Inclusion Leader , Financial Planning , Malecki Law , Equal Employment Opportunity Commission , Wayne Bland , Financial Designs , Regulation And Compliance ,

FINRA issues expungement reform proposal for arbitration

Reformers and supporters of the existing system are already lining up on either side of the fight as the regulator follows up on its pledges to pursue changes. ....

United States , Robin Traxler , Senter Lubin , Joe Borg , Doc Kennedy , Christine Lazaro , Melanie Senter Lubin , Nicole Iannarone , Michael Edmiston , Jenice Malecki , Financial Services Institute , John University School Of Law , Jonathanw Evans Associates , Public Investors Advocate Bar Association , American Securities Administrators Association , Drexel University , Securities Commissioner Joe Borg , President Melanie Senter Lubin , General Counsel Robin Traxler , Securities Arbitration Clinic , University School , Public Investors Advocate Bar , Regulation And Compliance ,

J.P. Morgan Securities loses $3M FINRA arbitration claim

The firm dragged three advisors through a lengthy arbitration case, only to lose and get saddled with all of the hearing costs. ....

United States , Christopherj Bowman , Bryanl Schneider , Dochtor Kennedy , Barrya Krumwiede , James Garvey , Jenice Malecki , Chase Investment Services , Wealth Advisors , Regulation And Compliance , Jpmorgan Chase , Jp Morgan Securities ,

Cetera ordered to pay broker $3M in FINRA arbitration case

A 38-year veteran financial advisor won a significant award in FINRA arbitration after a brokerage claimed he made unauthorized trades. ....

United States , Steven Gomberg , Fasanella Brokercheck , Robert Herskovits , Lynch Thompson , Gerald Fasanella , Jenice Malecki , Disclosure Department , Cetera Financial Group , Cetera Advisors , Fargo Advisors , Heron Financial Partners , Herskovits Attorneys , Malecki Law , Central Registration Depository , Regulation And Compliance ,