Arbitration

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.

One of the arbitrators on the three-member panel should have been disqualified, according to the petition.

Before agreeing to settle a client’s complaint, advisors should look for this key clause in the contract.

Robert Dekas claimed the firm breached its fiduciary duty by executing trades in unsuitable investments, says the regulator.

Craig Schmell says the firm terminated him because of alcohol and drug addiction issues he had 30 years ago.

The firm says former employee John Lockette agreed to have disputes heard in a private forum when he did not take advantage of an opt-out provision.

Miguel Ballestas was discharged from the firm after allegations of insider trading.

The claim alleged negligence, fraud and misrepresentation, according to the regulator.

Former CEO Mark Casady disclosed in arbitration testimony what led to the firing that resulted in a $30 million claim against the firm.

David Olson, an advisor of nearly 30 years, worked at Morgan Stanley until his termination in 2016.

The Advisor Group IBD added three new teams, but state regulators required enhanced oversight of one new recruit.

In addition to winning a $25,000 award, ex-J.P. Morgan rep Mihail Naumovski was able to expunge erroneous information on his Form U5 that he violated investment-related regulations.

The firm falsely claimed on his Form U5 that he deliberately changed a customer’s address from California to New Hampshire to facilitate the sale of an annuity, the broker alleged.

The firm is asking a judge to dismiss a class action suit and force a former broker into arbitration, instead.

The broker misappropriated his clients’ investment money for rent, credit card bills and other personal uses, investigators say.