Arbitration

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.

The former Oppenheimer client was allowed to invest in a new fund started by Carter Worth, a well-respected technical analyst who the client believed “walked on water,” his lawyer claimed.

Former San Diego Chargers guard Kris Dielman says the independent broker dealer failed to supervise his former advisor.

A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.

Can an RIA take the first bite of the apple when it comes to a dually registered rep’s brokerage commissions?

Her fresh criticism comes after FINRA barred her former Morgan Stanley branch manager this week.

The client, who was the co-founder of the HSN, suffered from dementia and was declared legally incompetent, according to a FINRA letter of acceptance, waiver and consent.