Arbitration

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.