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SEC Event Could Boost Interest in Pro Bono Law Clinics

The SEC's Investor Advocacy Clinic Summit comes as the number of pro bono law clinics for small clients has shrunk and federal funding dried up. ....

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B/Ds Want NASAA To Kill Reg BI-Related Revisions to Model Rules

Firms including Morgan Stanley, Raymond James and LPL want NASAA to withdraw proposed changes to its b/d conduct model rule. ....

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Haub Law Welcomes Veteran Litigator to Direct Investor Rights Clinic

Janene Marasciullo, an experienced trial attorney and a veteran of FINRA (Financial Industry Regulatory Authority) and the U.S. Department of Justice, will join the Elisabeth Haub School of Law at Pace University as the Director of its Fairbridge Investor Rights Clinic and an adjunct professor. Professor Marasciullo brings over 25 years of public and private […] ....

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Advisor files appeal in murder case | Financial Planning

Advisor files appeal in murder case | Financial Planning
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New FINRA rules to put up high barriers to broker expungement records

The SEC is moving forward with regulations that broker advocates argue could make it nearly impossible to have online complaints purged. ....

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