Arbitration

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.