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In a panel at PIABA's annual conference, the head of the regulator's arbitration program discussed how the bombshell case has led to reforms.
October 26 -
The wirehouse fabricated the terms of its recruiting bonus loan and client churning allegations against Anil Bhandari, he said in his first interview on the case.
September 9 -
IFS Securities once had about 150 financial advisors and 20,000 clients. Now it's seeking millions it owes third-party firms three years after it shut down.
August 29 -
Reformers and supporters of the existing system are already lining up on either side of the fight as the regulator follows up on its pledges to pursue changes.
August 10 -
Securities arbitration experts say the Investor Justice Act would represent the SEC's first recurring grants for free counsel that's sorely missing.
August 8 -
A Georgia appeals court threw out a bombshell ruling against Wells Fargo that said the Wall Street bank "committed fraud" with an arbitration panel.
August 2 -
Two Securities America brokers and their firm must pay the large award after a case that leaves many unanswered questions.
August 2 -
A Mexican-American couple who sought safety and diversification north of the border say they found fraud, negligent supervision and concealment.
July 27 -
The case offers the latest confusing signal about an industry that forces discrimination cases into arbitration and fights them to the bitter end.
July 11 -
An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.
June 29