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Arbitration
How long is too long for an amended U5?
When and how are former employers allowed to file? Attorney and compliance expert Alan J. Foxman explains.
NFL players hit Wells Fargo, Morgan Stanley with $1.8M arbitration claims
The cases stem from the investment advice given by a now barred broker, who is accused of soliciting funds for a Miami Beach nightclub he owned.
Disabled clients lost $500K in TD Ameritrade chatroom
They seek a refund and damages after they said the firm directed them to its Thinkorswim website, according to a FINRA arbitration filing.
In fight over clients, Goldman Sachs sues 2 advisers who left for RIA
The duo led a seven-person team in Chicago serving 50 wealthy clients, according to the bank.
After 78 hearings, clients of failed RIA lose $68M arbitration case
C.L. King & Associates argued it did not break any FINRA rules.
FINRA to 'terribly harmed' investors: No recovery pool
The regulator skips creating a fund for investors with unpaid arbitration claims, despite raising hopes that it might.
Amid surge in complaints about annuities, BD loses $1M arbitration to ex-client
The broker’s written promise of 7% returns on a variable annuity made for a simple case, the lawyer for the claimant says.
Advisers in hot water for $21M Ponzi scheme, insider trading and more
A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.
Facing $1M clawback, adviser finally gets day in court — and wins
A federal judge ruled that the ex-Barclays adviser had been unfairly forced into FINRA arbitration, where a panel had ruled against him.
A bull market in FINRA arbitration claims? Here's what's driving disputes
Stocks and Puerto Rican bonds are the focus of many cases among clients, advisers and firms.
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