Arbitration

It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.

How advisors deal with grievances and arbitration can make or break a career.

Caleb Fackrell repeatedly called his behavior “insane” in his testimony, according to transcripts obtained by Financial Planning.

The widow argued that her advisor failed to confer with her about the investment strategy he and her late husband developed prior to her husband's sudden death.

The firm previously accused its former employee of using company stationery to continue to pass herself off as an Ameriprise advisor.

The award marks the largest of its kind this year.

FINRA rejected the advisor's claims as the firm resolved two longstanding compliance issues.

"This bill is a giant wet kiss to Wall Street,” Senator Elizabeth Warren says.

Advisors should address client issues in-house, which sometimes means taking a hard look at supervisory controls, regulators say.

The storm devastated Puerto Rico, which has seen a surge of client complaints.