MARCH 7, 2018

REGULATION AND COMPLIANCE

Unpaid Arbitration Claims Persisted in 2017, PIABA Says

Diana Britton

A new PIABA report says about a third of FINRA arbitration awards went unpaid last year; Senator Elizabeth Warren believes the best solution is a pool funded by FINRA fines.

FULL ARTICLE

INDUSTRY

$400 Million NY RIA Joins Dynasty With Plans To Grow

Michael Thrasher

CJM Wealth Management plans to leverage Dynasty Financial Partners' resources for mergers and acquisitions.

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PHILANTHROPY

Court Upholds Regulations Requiring Charities to Disclose Donors

Brianna L. Guerrera and Andrew M. Nerney

Will donors now think twice before pledging?

FULL ARTICLE

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