Arbitration

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  1. Articles

    Beatty takes reins of NASAA, focuses on protecting senior investors

    Other issues state regulators are tackling include expungement, broker fee disclosures and REIT concentration in portfolios.

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    Executives of defunct IBD hit with $1.05 million arbitration award

    Investors sued individuals after the firm, Allied Beacon Partners, ran out of capital and failed to pay earlier arb award.

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    Advisers should be supporting transparency

    The SEC's potential rules to increase disclosure of mutual fund holdings should be applauded.

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    Should you follow Bill?

    Friday's Breakfast with Benjamin features: Bill Gross is selling bonds. Should you? Plus: Finra might go inside to replace Fienberg; the markets' muted reaction to Obama; pump and dump; more money flows to hedge funds; and Cantor's way of commemorating 9/11.

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    SEC takes a hard stance on soft dollar abuses

    The SEC recently announced sanctions against a broker-dealer in New York for ignoring red flags and making improper soft dollar payments to a San Diego-based registered investment adviser. The broker-dealer paid more than $400,000 to the RIA, even though the advisory firm failed to make full ...

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    SEC assessment of mutual fund risk could lead to more disclosure

    Questions abound in early stages of potential rulemaking to boost oversight.

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    Advisers take stock as ETF portfolio manager F-Squared faces legal action

    Wary advisers are taking a closer look at F-Squared Investments, the largest manager of exchange-traded-fund portfolios, which is under investigation for misrepresenting past returns.

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    Finra's head of arbitration to retire in November

    Linda Fienberg departs the regulator after putting in place several modifications to its dispute resolution forum over her 18-year tenure.

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    No summer break for SEC as agency revs up exam pace

    There's been no summer break for the SEC, as the regulator's tally for never-examined advisers has been bolstered by a quicker examination process.

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    Ex-Morgan Stanley broker loses nearly $1M but gains 100K in Finra arb case

    Finra arbitration panel finds adviser liable for remaining balance on promissory note, but orders wirehouse to pay for closing his branch.

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    Mary Jo White: Money market reform tops the SEC's list

    The following is an excerpt from Securities and Exchange Commission Chairman Mary Jo White's opening comments at its open meeting on money market fund reform July 23.

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    Finra panel smacks Morgan Stanley with $4.5M arbitration award

    Morgan Stanley loses Finra arbitration dispute to Banco Nacional de Mexico SA, the Mexican bank known as Banamex.

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    LPL cranks up oversight in response to regulators

    LPL Focus 2014: Firm CEO Mark Casady tells 3,500 advisers to be ready for more requests for documentation and background.

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    REITs, RIA regulation, retirement planning and risk grab advisers' attention

    InvestmentNews' four must-read stories of the week cover this ecclectic set of 'R' subjects.

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    RIA slapped with $15 million fine; founder barred

    Firm and two advisers ordered to pay nearly $20 million for alleged cherry-picking scheme that defrauded several clients out of about $10.9 million.