Arbitration

The case offers the latest confusing signal about an industry that forces discrimination cases into arbitration and fights them to the bitter end.

An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.

A panel of FINRA arbitrators unanimously ordered the award against the megabank based on Erin Ann Daly’s claims of gender-based discrimination.

The firm dragged three advisors through a lengthy arbitration case, only to lose and get saddled with all of the hearing costs.

More financial advisors are accusing independent wealth managers of acting like wirehouses and other employee brokerages upon their departures.

A 38-year veteran financial advisor won a significant award in FINRA arbitration after a brokerage claimed he made unauthorized trades.

Critics of FINRA’s current system for removing client complaints from brokers’ records are seeking to vacate an arbitration award.

The regulator is asking for adoption of the proposal it put on hold last year while opening discussions for other improvements to the process.

Whether it's a watchdog or up-and-coming advisor, claims and counterclaims are plentiful across the industry.

The FINRA arbitration decision omits any details or reasoning for the award in a case involving a broker’s email to his former colleagues.