1. All
  2. Articles

Watch breaking news videos and read news updates about Arbitration on

  1. Articles

    Consumer groups accuse SEC of ignoring investors

    Consumer groups say the agency has been preoccupied with market issues to the detriment of the public and needs to tighten adviser oversight.

  2. Articles

    CFPB study reveals downside of mandatory arbitration

    With spotlight on consumer confusion, harm, some think SEC will be swayed to quicker action reviewing brokerage contracts.

  1. Articles

    SEC limits who qualifies as a public arbitrator

    The Securities and Exchange Commission has approved a Finra proposal that would restrict more individuals in securities disputes from serving as public arbitrators, including lawyers who represent plaintiffs.Under the rule, anyone who has worked in the financial industry at any point in his or her

  2. Articles

    Investor, consumer groups call on Finra to release more arbitration data

    As task force reviews process, regulator pushed to fess up on selection of arbitrators, award collections and case statistics.

  3. Articles

    10 developments to watch in the independent broker-dealer industry in 2015

    Advisers and their independent broker-dealers saw movement last year in regulation, investment products, business strategies, retirement vehicles and more. Here are 10 of the hottest topics, which are sure to continue to evolve as the year unfolds.LPL strapped with compliance chargesLPL Financial,

  4. Articles

    What's good for individual investors is good for the whole industry

    The financial industry must take every action it can to weed out bad actors and rebuild investor confidence, including beefing up background checks for brokers.

  5. Articles

    Ketchum: What this industry is missing when it comes to CARDS

    Finra chief Richard Ketchum says industry groups like SIFMA are overlooking the investor protection benefit of Finra's controversial data-collection proposal.

  6. Articles

    Wells Fargo settles bonus squabble for $7.4M

    Wirehouse settles class action claim the firm wrongly withheld incentive compensation from two former advisers who changed firms.

  7. Articles

    Finra expected to adopt CARDS despite vocal industry resistance

    Opponents like SIFMA and FSI remain wary of the potential costs, customer data security, but Finra asserts that CARDS will help investors.

  8. Articles

    Client protection ruse needs to stop

    Advisers should demand that industry organizations speaking for them don't let greed overshadow their true mission to help people live sound financial lives.

  9. Articles

    Brokers can complain to Finra about exams – anonymously

    Brokers like to complain about Finra exams. Now they have a chance to tell the organization exactly what they think — anonymously.

  10. Articles

    Ketchum on hot seat over controversial CARDS proposal

    Ketchum dodges criticism over the regulator's data collection program, says 'it's still very early in the game.' (Also: Incoming SIFMA chair worries about CARDS' cost, security.)

  11. Articles

    SEC Chair Mary Jo White close to revealing her position on fiduciary duty

    Mary Jo White is poised to reveal what she believes is the best way for the SEC to address fiduciary duty, with the SEC planning to make a determination this year as to whether to propose a rule or take another approach.

  12. Articles

    Finra names new head of arbitration

    A 19-year veteran of the organization will replace Linda Fienberg on Dec. 1.

  13. Articles

    Two big developments in retirement planning grab advisers' attention

    Social Security and annuities make news, LPL's regulatory headaches continue, and the rest of this week's must-read stories for advisers.