Luis Aguilar

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  Stop Denying Investor Rights: End Forced Abitration Now

  By Heath Abshure, NASAA President  |  May 16, 2013

  For too long, investors have been forced to "take it or leave it" by mandatory pre-dispute arbitration clauses. The time is now for this denial of investor rights to end, which is why NASAA supports the Arbitration Fairness Act.

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  Is Schwab’s Arbitration Win Really a Loss?

  By Bob Clark, AdvisorOne  |  May 8, 2013

  There's much backlash in Washington over Schwab's successful rebuttal of a FINRA challenge to its expanded mandatory arbitration clause.

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  Sen. Franken Urges SEC to Ban ‘Unfair’ Arbitration Agreements

  By Melanie Waddell, AdvisorOne  |  April 30, 2013

  Sen. Al Franken, D-Minn., told SEC Chairwoman Mary Jo White in a Tuesday letter to act now to prevent Wall Street brokerage firms from forcing investors into “unfair” arbitration agreements.

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  SEC Comings and Goings: Canellos, Ceresney Named Co-Heads of Enforcement

  By Melanie Waddell, AdvisorOne  |  April 22, 2013

  SEC Chairwoman Mary Jo White has named her former colleague Andrew Ceresney and acting enforcement director George Canellos co-directors of the enforcement division.

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  SEC’s Aguilar: Predispute Mandatory Arbitration Denies Investors’ Rights

  By Melanie Waddell, AdvisorOne  |  April 17, 2013

  “A client’s right to go to court to recover monetary damages is an important right that should be preserved and kept in the client’s toolkit,” SEC Commissioner Luis Aguilar told state securities regulators Tuesday.

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  White Sworn In as SEC Chief; Walter, Paredes Likely Leaving SEC Soon

  By Melanie Waddell, AdvisorOne  |  April 10, 2013

  Interim Chairwoman Elisse Walter will remain at the agency as a commissioner, but it doesn't look like she'll be there for long, David Tittsworth of IAA said.

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  Fidelity to SEC: Money Funds Don’t Need Further Reform

  By Melanie Waddell, AdvisorOne  |  January 25, 2013

  Fidelity Investments told the SEC on Friday that it believes the 2010 reforms made to money-market funds were “sufficient” and that any further reform proposals should be “be based on data and facts that are accurate and complete.”

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  SEC Will Pursue Fiduciary Rule in 2013

  By Melanie Waddell, AdvisorOne  |  December 3, 2012

  The agency’s just-released 2012 Financial Report states that it will move forward with its uniform fiduciary standard rule as well as “continue to assess” ways to better harmonize advisor and BD rules.

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  Obama Names SEC’s Walter as Schapiro’s Replacement

  By Melanie Waddell, AdvisorOne  |  November 26, 2012

  While Elisse Walter, an SEC commissioner, was selected by President Obama to succeed Schapiro, industry officials speculated that Walter will serve as an acting chairman until the president selects a permanent chairman at a later date.

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  SEC’s Schapiro to Step Down in December

  By Melanie Waddell, AdvisorOne  |  November 26, 2012

  After months of speculation that she would depart, Schapiro made it official Monday morning that she would depart the agency on Dec. 14; with a frontrunner emerging from Treasury Department.