The SEC must take these 3 actions to protect investors from forced arb…

Cartoonist Ashleigh Brilliant’s quip, “I don’t have any solution, but I certainly admire the problem,” encapsulates the Securities and Exchange Commission’s report on mandatory arbitration clauses in RIA customer contracts.  Last year, Congress tasked the SEC with investigating the frequency of arbitration claims and types of predispute arbitration provisions in customer contracts used by registered […]

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