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A panel of FINRA arbitrators unanimously ordered the award against the megabank based on Erin Ann Daly’s claims of gender-based discrimination.
June 26 -
The firm dragged three advisors through a lengthy arbitration case, only to lose and get saddled with all of the hearing costs.
June 7 -
More financial advisors are accusing independent wealth managers of acting like wirehouses and other employee brokerages upon their departures.
May 18 -
A 38-year veteran financial advisor won a significant award in FINRA arbitration after a brokerage claimed he made unauthorized trades.
May 4 -
Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.
May 3 -
The regulator is asking for adoption of the proposal it put on hold last year while opening discussions for other improvements to the process.
April 28 -
Whether it's a watchdog or up-and-coming advisor, claims and counterclaims are plentiful across the industry.
April 27 -
The FINRA arbitration decision omits any details or reasoning for the award in a case involving a broker’s email to his former colleagues.
April 20 -
With the barred former rep in the Dominican Republic, a court filing asks a state judge to toss a FINRA panel’s decision absolving the firm of responsibility.
April 13 -
UBS brokers rack up expungements of Puerto Rico complaints
April 7