Contributors

Richard Roth

Richard Roth is the founder and president of The Roth Law Firm, PLLC, a boutique litigation firm that...

Feb 13, 2015

House of CARDS: FINRA Overreaches Again

FINRA is overstepping the boundaries with its CARDS proposal. The plan will only create risk of a data breach of customers' information and take the compliance function out of the hands of the firms....More
What's Inside the Litigation Lion?

An inside view of trends in SEC/FINRA regulatory and compliance issues and how it affects individual financial advisors and their firms.

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