Arbitration

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.

C.L. King & Associates argued it did not break any FINRA rules.

A FINRA arbitration panel dismissed the firm's claims but charged the broker more than $11,000.

The regulator skips creating a fund for investors with unpaid arbitration claims, despite raising hopes that it might.

The broker’s written promise of 7% returns on a variable annuity made for a simple case, the lawyer for the claimant says.

The firm won a rejection of her $1 million claim, promissory note damages, legal fees and interest.

Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.

The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.

A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.

A FINRA arbitration panel decided that an amendment to the adviser’s bonus loan is “unenforceable.”

A federal judge ruled that the ex-Barclays advisor had been unfairly forced into FINRA arbitration, where a panel had ruled against him.