Arbitration

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.