Recently, Stephany McLaughlin shared her thoughts on former Southwest Securities adviser Kimberly Rose and her journey through arbitration.
The work that you and your team have performed on my behalf is exemplary.
Recently, Stephany McLaughlin shared her thoughts on former Southwest Securities adviser Kimberly Rose and her journey through arbitration.
Stephany McLaughlin, along with Howard Suskin, Retired Judge David Coar and Retired Judge Allen Goldberg gave a presentation at the Chicago Bar Association discussing Arbitration both from policy and practical perspectives at the Chicago Bar Association.
Amidst swirling speculation regarding its connections with a client linked to the Prophecy Asset Management collapse, B. Riley Financial Inc. has conducted an internal
review, concluding no affiliations with the defunct hedge fund.
A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.