Arbitration

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  1. Articles

    Finra bars Wells Fargo broker who ran Miami nightclub

    Aaron Parthemer, left, a Wells Fargo adviser for a number of NFL and NBA players, allegedly ran a hip hop dance club in South Beach without telling his employer.

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    How advisers can avoid Finra scrutiny over personal liens, judgments, or bankruptcies

    While disclosures of negative personal financial events are not pleasant, the consequences of not making them can be severe.

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    Boston RIA hit with $48 million arbitration award

    Clients accused Lee Weiss of recommending an unsuitable investment in a Polish tobacco company.

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    Finra arbitration panel awards investor $1.3 million from ex-Stifel broker

    A Finra arbitration panel has awarded $1.3 million in damages to a Mississippi investor over the handling of her finances by a former broker for Stifel Nicolaus & Co. Inc.In a case filed in August 2012, Tracy Noble Gilbert accused broker Lanis Dale Noble, then with Stifel, of churning and breach of

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    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.

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    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.

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    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

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    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.

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    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,

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.