Arbitration

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.

In recruiting more women and minorities, the regulator aims to reshape its homogeneous roster of arbitrators.

The impartial conduct standards have boosted clients’ chances, a longtime arbitrator says.

The defendants profited more than $3 million by trading before and after mergers and acquisitions were announced, according to U.S. prosecutors.

Experts say such cases are commonly filed by advisors yet difficult to win.

An advisor questions a witness’s qualifications.

The rep claimed the firm misled him when they recruited him from PNC Bank.

When and how are former employers allowed to file? Attorney and compliance expert Alan J. Foxman explains.

The firm has collected more than $1.1 million in arbitration cases so far this year.

The cases stem from the investment advice given by a now barred broker, who is accused of soliciting funds for a Miami Beach nightclub he owned.

The broker breached two promissory notes, which had outstanding balances of $544,000 and $345,000, according to a FINRA arbitration ruling.

They seek a refund and damages after they said the firm directed them to its Thinkorswim website, according to a FINRA arbitration filing.

A FINRA arbitration panel ordered the broker to give back the bulk of his $675,000 signing bonus to SunTrust.

The duo led a seven-person team in Chicago serving 50 wealthy clients, according to the bank.

In a complaint filed in federal court, PNC fired back at the hearing panel, saying that it exceeded its authority by disregarding the law.