We've known for some time that FINRA ranks their brokers based upon negative disclosures on their Form U4 and CRD.  However, that information has never been released to the public...

AdvisorLaw has just reached an important and impressive milestone in the financial advisor industry.  We have just reached our 50th winning award for customer dispute expungement in 2017 through FINRA's Rule 2080 arbitration...

Award FINRA Office of Dispute Resolution In the Matter of the Arbitration Between:  Claimant  Case Number:          vs. Respondent A.G. Edwards & Sons, Inc.   Hearing Site: Denver, Colorado Nature of the Dispute: Associated Person vs....

Original Article: wealthmanagement.com/marketing/how-save-your-reputation-after-meritless-customer-complaint Many wealth managers have spent years, if not decades, of their lives crafting a distinguished image of their practice. Words like “planning,” “trust,” “experience,” “service” and “satisfaction”...