Arbitration

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.