Arbitration

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.

The case is a legacy of the fallout from Puerto Rico's bond crisis and the performance of UBS closed-end funds.

State Treasurer John Chiang says that Wells Fargo is keeping patterns of abuse hidden from view by resolving customer disputes through private arbitration.

An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.

The dispute pits four advisors against big Wall Street names: Wells Fargo, Morgan Stanley, Raymond James and Merrill Lynch.

The firm filed a motion arguing one of its ex-brokers did not challenge the proceedings until after the panel ruled against her.

The dispute centered on the firm’s handling of Puerto Rican municipal bonds.

The No. 1 IBD cleared him of any wrongdoing then said he still faced the probe after leaving the firm months later, according to the lawsuit.

The firm allegedly hired and promoted fewer women than men and paid them less than their male counterparts.

Scott Wolas assumed other people’s names to pose as a real estate agent, bartender, retired paleontologist and a registered rep, investigators say.

Joe Voboril claims he was wrongfully terminated after an investigation into another banker’s alleged inappropriate sexual conduct, according to his lawyer.