Arbitration

It's the first regulatory ding for the influential advisor and entrepreneur in almost 15 years.

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.

Two advisors who joined Alex. Brown after the Deutsche Bank acquisition in 2016 seek to void the FINRA panel's arbitration decision in a court challenge.

Even the best clients in the most appropriate investments can panic when they’re watching their hard-earned savings shrink on a daily basis.

The clients say their advisor improperly invested their funds in a Miami Beach nightclub that failed.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors

The rarely dinged firm joined peers grappling with two issues: mutual fund fees and supervision of advisors who've been sanctioned multiple times.

The regulator bills the move as the latest effort to bring transparency to the challenge of unpaid awards.

The representative had already been permitted to resign and suspended by state regulators, but the firm lost its case for additional damages.

The 4,300-advisor network is investing in insurance distribution after benefiting from rising interest rates and record client assets.

It’s the second big loss for Credit Suisse, which is fending off dozens of claims from former brokers claiming their compensation was withheld.

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

Researchers from top business schools studied arbitrator selection, as shown in nearly 9,000 cases filed by clients over a 27-year span.

For advisors that make a claim of misconduct the deck appears stacked in favor of the employers.

Clients have filed hundreds of similar claims against UBS since 2013, with aggregate damages of $2.6 billion.

While it may be unnerving, a notice of an examination doesn’t necessarily mean defeat.

A petition to vacate the award was denied by a federal judge.

Advisor Brian Chilton’s $844,000 arbitration award could herald more losses for the firm.

Can FINRA suspend the advisor’s license?

The advisor, who penned a memoir about drug addiction, accuses the firm of wrongful termination.