Michael Edmiston News Today

The Bluffton Area Chamber of Commerce will host its monthly breakfast meeting on Friday, December 8. The meeting will be held on the third floor of the Town Hall with breakast served at 7:00 a.m.; the program begins at 7:30 a.m. Roots By Strattons is the breakfast sponsor. Kira's Flipside Grill will be providing the breakfast with coffee from the Twisted Whisk Cafe.

New adopted amendments by FINRA will make it easier for state securities regulators to oppose expungement requests in arbitration proceedings.

An SEC report shows more than half of RIAs use mandatory arbitration clauses, but it leaves many questions about potential investor harm.

The SEC case is the latest to highlight the risks investors run when they get involved with "blank check" companies.

The top Massachusetts securities regulator contends a broker's misdeeds could have been prevented if internal compliance officers had only tried.

The number of pro bono legal clinics for retail investors harmed by bad investment advice has fallen dramatically over the past decade.

In a panel at PIABA's annual conference, the head of the regulator's arbitration program discussed how the bombshell case has led to reforms.

Securities America has paid more than $15 million in an SEC case and settlements with the fraud victims of Hector May and his daughter, Vania May Bell.

The changes reflect an effort to give penalties more teeth, similar to what the regulator did last year with Robinhood's $70 million fine.

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.