Arbitration

Business goals cannot always put clients' best interests first. Here's why even the executives leading fast-expanding advisory firms say the critics have a point.

Former financial advisors accused the firm of filing false disclosures about a template invoice their onetime employer claimed they sent to clients.

An expungement lawyer contends firms have an incentive to tar the reputation of departing brokers in an attempt to retain assets under management.

The giant insurer fired three financial advisors based on false claims about their specialty insurance consulting business, according to their attorney.

In a case with industry-wide implications, PKS Investments argues that a Utah couple cannot pursue damages against the brokerage through FINRA arbitration.

The new rules may slow the deletion of valuable public records, but FINRA should take the issue out of arbitration altogether.

Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.

The federal court decision ended a former Chase branch-based advisor's saga of a half dozen years after the firm alleged he broke its rules for notarizing documents.

After the regulator's report raised questions about fairness to investors, PIABA is seeking new rules that would require advisory firms to make it easier to file complaints.

Financial advisor Mark J. Dickman had filed his FINRA arbitration case against the firm and officials with Independent Advisor Alliance nearly four years ago.