Arbitration

ACG Wealth’s affiliated IBD has also added teams from LPL and Merrill Lynch. Its CEO says the firm is just getting started.

Citing mounting investor losses from unpaid arbitration awards, investor advocates see a role for Congress to force FINRA's hand.

Rival firms like Ameriprise could stand to gain as advisors adapt to new recruiting realities.

Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.

The wirehouse is charting a litigious course since breaking with the Broker Protocol, and some observers think the scorched-earth campaign could harm its reputation.

The 84-year-old client wanted to preserve her wealth, but says her advisor made "unsuitable" asset allocations.

A FINRA arbitration panel concluded that the No. 1 IBD made false and defamatory statements in its U5 filings.

The firm invested the widow's money in oil and gas securities, real estate investment trusts and other investments that did not square with her conservative risk profile, her lawyer argued.

The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.

Morgan Stanley and one of its advisors were ordered to return the entrepreneur's investment in two private placement funds totaling $536,000 and pay him $37,500 in compensatory damages.