Arbitration

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.