Arbitration

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.

A new rule addresses double jeopardy, but doesn’t apply in older cases.

The broker slashed her payment by pressing for funds she said the firm promised but never paid.

Stocks and Puerto Rican bonds are the focus of many cases among clients, advisers and firms.

The self-regulator is modifying its much-maligned process, addressing transparency and arbitrator qualifications, among other concerns.

The former planner says she was wrongfully terminated and that she did not agree to settle with the wirehouse.

One barred broker borrowed funds from clients without approval, according to FINRA.

Their attorney said he would instead file claims in arbitration.

The spat between the firms started when the regional BD recruited a group of advisers who collectively oversaw about $1.1 billion in client assets.

A husband and wife alleged they were advised to cash out nearly $1 million of their pension money for risky investments, according to their lawyer in FINRA arbitration.

The adviser had been employed with the firm for seven years prior to her dismissal, and had no disclosures on her BrokerCheck record.